4530 Customer
Complaints and Disclosures
Data Dictionary
Version 0.1
12-12-21
2
DATE
AUTHOR
VERSION
DESCRIPTION
01-07-21
Sarah Rose
0.1
Initial draft.
12-21-21
Sarah Rose
0.2
Added filing type code definition
3
Data Field
Data Description
Filing Period
Quarterly reporting period in year (YYYY) and quarter (Q1) format.
Filing Number
The number assigned by FINRA systems when the filing is submitted.
Filing Type Code The filing type which may be a Complaint or Disclosure
Version Number
The version number for the filing
Status
The status of the filing.
Firm CRD
The CRD ID for the organization submitting the filings.
Firm Sequence Number
Optional firm reference identifier (for firm use only) provided by firm when
submitting the form filing.
BCD-123
Contact Last Name
Last name of person who submitted the 4530 filing.
Contact First Name
First name of person who submitted the 4530 filing.
Contact Phone Number
Phone number for person who submitted the 4530 filing.
Contact Email
Email address for person who submitted the 4530 filing.
Product Code
The product code most prominent in the complaint.
Problem Code
The problem code for the most egregious issue in the complaint.
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Data Field
Data Description
Event Code
The event code for the disclosure.
12 = (a)(1)(B) Customer Complaint
Involving Certain Allegations
13 = (a)(1)(C) Named in a Regulatory
Proceeding
14 = (a)(1)(D) Subject to Other Regulatory
Actions
15 = (a)(1)(E) Criminal Actions Involving
Felonies and Certain Misdemeanors
16 = (a)(1)(F) Associated with a Financial
Entity Subject to Certain Actions
17 = (a)(1)(G) Civil Litigation; Arbitration
Matters; or Certain Claims for Damages
18 = (a)(1)(H) Statutory Disqualification
19 = (a)(2) Disciplinary Action Taken by a
Firm Against an Associated Person
Alleged Activity Period Date
1
The start date of the alleged activity. MM/DD/YYYY
Alleged Activity Period Date
2
The date the alleged activity ended. MM/DD/YYYY
Alleged Activity Period Date
Flag 1
1, Y, N, Missing
Alleged Activity Period Date
Flag 2
1, Y, N, Missing
Complaint Related to
Representative Flag
Indicates the complaint is primarily related to a Representative.
5
Data Field
Data Description
Complaint Related to
Account Payable Flag
Indicates the complaint is primarily related to an account payable.
Complaint Related to Firm
Flag
Indicates the complaint is primarily concerned with a firm.
Complaint Related to
Municipal Flag
Indicates the complaint is complaint is primarily related to Municipal Advisory
Services.
Complaint Related to Other
Indicates the complaint is related to something other than a representative,
account payable, municipal advisory service, or representative.
Discovery Date
Date the disclosable event was discovered.
Response Date
Date firm responded to the complaint.
Submission Date
Date the filing was submitted.
Transaction Date
The start date of the alleged activity.
Transaction Date 2
The end date of the alleged activity.
Transaction Amount
The amount of the relevant transaction.
Customer First Name
First name of the customer who made the complaint.
Customer Last Name
Last name of the customer who made the complaint.
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Data Field
Data Description
Disputed Amount Indicator
Indicator for if the disputed amount is under $5,000, more than $5,000 or a specific
Total Disputed Amount.
Total Disputed Amount
1 = Disputed amount is estimated to be
$5,000 or more /cannot determine
2 = Disputed amount is estimated to be
under $5,000
Total Disputed Amount
The total amount of the transaction that is a matter of customer complaint.
Disposition Code
The disposition code
J = Judgement
S = Settlement
Disciplinary Action Code
Indicator for the type of disciplinary action taken toward the involved
Representative, including Imposition of Fines (I), Suspension (S), Termination (T), or
Withholding of Compensation (W).
S = Suspension
T = Termination
W = Withholding of Compensation
Comment
Description of the reported situation or event.
Comment Summary
Summary of actions taken to rectify reported situation or event.
Explanation
Explanation for Statutory Disqualification (SD) disclosure event.
Branch CRD Number
CRD for the branch location where the alleged activity occurred or where the
representative was located.
7
Data Field
Data Description
Branch State Code
State code for the branch location where the alleged activity occurred or where the
representative was located.
Branch Zip Code
Zip code for the branch location where the alleged activity occurred or where the
representative was located.
Investigator First Name
First name of investigator of the allegations.
Investigator Last Name
Last name of investigator of the allegations.
Other Party Name
Only shows for Disclosure Event Code 17 - civil litigation related disclosure and
represents the name of the other party in the litigation.
Representative CRD Number
CRD number for Representative engaged alleged activity.
Representative City
City where Representative engaged alleged activity resides.
Representative Employment
Status Code
Code indicating the representative’s employment status.
1 = Employed
Representative Supervisor
FirstName
First name of the related representative’s supervisor.
Representative Supervisor
LastName
Last name of the related representative’s supervisor.
Representative Zip Code
Number
Zip code of the related representative’s residence.
Security Description 1
Description of the security related to the predominant allegation(s) in the
complaint. If the security has a symbol, it must be used. Up to three securities can
be listed in a complaint.
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Data Field
Data Description
Security Description 2
Description of the security related to the predominant allegation(s) in the
complaint. If the security has a symbol, it must be used. Up to three securities can
be listed in a complaint.
Security Description 3
Description of the security related to the predominant allegation(s) in the
complaint. If the security has a symbol, it must be used. Up to three securities can
be listed in a complaint.
Security Symbol 1
Symbol of the security related to the predominant allegation(s) in the complaint.
May include up to three security symbols on a single complaint.
Security Symbol 2
Symbol of the security related to the predominant allegation(s) in the complaint.
May include up to three security symbols on a single complaint.
Security Symbol 3
Symbol of the security related to the predominant allegation(s) in the complaint.
May include up to three security symbols on a single complaint.
Statutory Disqualification
Party Company Name
SD party company name.
Statutory Disqualification
Party First Name
SD party first name.
Statutory Disqualification
Party Last Name
SD party last name.
Statutory Disqualification
Member Relation Code
Specifies relationship to Statutory Disqualification (SD). Can be Affiliate, Firm,
Representative, or Other
F = Firm
R = Representative
Subjects Name
Subject named in the disclosure filing.