An associated person at a member firm receives a complaint from a customer involving allegations...

The member firm must report the event promptly to FINRA.

The member firm is not required to report the event to FINRA but must maintain a file of the complaint for four years.

The member firm must complete arbitration to resolve the complaint with the customer before filing a report with FINRA.

The member firm must have a principal review the complaint and determine if the forgery occurred before filing a report with FINRA.