Bloom Burton has a responsibility to ensure that each complaint is acknowledged and resolved on a timely basis. Complaints also give Bloom Burton the opportunity to review its procedures and highlight any problems that should be addressed. Complaints may be received either verbally or in writing. Complaints can be filed by the client or by a person acting on behalf of the client, written authorization must be provided by the client. Regulatory complaints, as outlined below must be reported to IIROC through ComSet.

If you have a complaint or concerns about our products, services, or one of our registered representatives, we invite you to follow the two steps below:

You may address your concerns preferably in writing, to the firm’s Designated Complaints Officer. The role of the Designated Complaints Officer is to ensure:

  • Your concerns are treated fairly;
  • Complaints are thoroughly examined in accordance Bloom Burton’s policy and;
  • To act as a liaison between yourself, your registered representative and the firm to and resolve the matter.

The Designated Complaints Officer at Bloom Burton is the Chief Compliance Officer; complaints maybe submitted preferably in writing to:

Kari Tavener
Chief Compliance Officer
Bloom Burton & Co.
65 Front Street East, Suite 300
Toronto, Ontario M5E 1B5
ktavener@bloomburton.com
(416) 642 – 8871

 Submitting a Complaint

The following information should be included when submitting a complaint:

  • The client name and address;
  • The name of the person involved in the dispute;
  • The contact person’s name and reference information;
  • A detailed summary of the complaint

 Acknowledgement of the Complaint

Bloom Burton will strive to acknowledge your complaint in writing by responding to you within five (5) business days or our receipt of your communication.

 Complaint Process

In the process of investigating the complaint, the CCO will ensure that the client has an opportunity to present his/her comments and documentation. The CCO will investigate the complaint in a fair and thorough manner by reviewing all relevant documentation. The investigation may utilize internal resources such as legal or operations as necessary. The CCO will review the issue(s) with the registered representative, affected parties and appropriate supervisory personnel; and may rely on documentation along with external factors to determine an appropriate resolution. Upon completion of our review into your dispute, Bloom Burton will provide you with a substantive response within ninety days from receipt of your complaint. If we are unable to provide you with a substantive response within the allotted time, we will provide you with written notice explaining the reason for the delay and the new estimated time of completion.