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A customer is unhappy about a $5,000 loss in a stock that the registered representative...

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A customer is unhappy about a $5,000 loss in a stock that the registered representative (RR) recommended and threatens to call FINRA ' s Securities Helpline for Seniors about the matter. What is the most appropriate next step for the RR to take?

A.

The RR should notify their supervisor about the customer ' s dissatisfaction.

B.

The RR is permitted to reimburse the customer for the loss to resolve the customer ' s complaint.

C.

The RR should alert their compliance department to update their Form U4 with the complaint details.

D.

The RR should call FINRA ' s Securities Helpline for Seniors before the customer does and explain their side of the story.

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