Complaints Resolution


We are committed to providing you with an exceptional level of service and providing you with the appropriate financial products. Should a situation arise though that you cannot resolve directly with your advisor, there are steps you can take which will depend on the nature of the complaint.

For all complaints you should contact your advisor first to make certain they have a clear understanding of your concerns and expectations. If a resolution through your advisor is not possible then you should contact our Chief Compliance Officer, Adam Dudley or our Ultimate Designated Person, Darren Pott at 204-944-3370 or who will investigate the matter and help you resolve the situation.

For more information you may visit our regulator’s website: MFDA Complaint Resolution.


Complaint Process at LP Financial Planning Services Ltd.:

  • A complaint is received. If the complaint is a verbal one, the Chief Compliance Officer works with the parties involved to get the pertinent details in writing so the complaint can be addressed properly.
  • LP Financial Planning Services Ltd. provides an initial written response within five business days of receiving the complaint.
  • We review the client’s file, make copies of the relevant documents, interview the advisor/representative, and request a written summary of events from the representative.
  • A meeting is called with the compliance committee to review the documents and to request any additional information from the representative. The compliance committee consists of compliance officials, board members and advisor representatives.
  • Following the meeting and review, a formal response complete with recommendations to address the complaint (if any) is prepared and sent out by mail to the complainant. This response is sent out to the complainant normally within four to six weeks of receiving the initial LP Financial Planning Services Ltd. response.
  • If the actions of the representative warrant internal sanctions, settlements, or other forms of disciplinary actions, they are applied, and the appropriate regulatory bodies are informed.

Still have questions?

    LP Financial Planning Services Ltd. is an investment dealer with over 30 years of financial expertise that is committed to helping you reach your goals.


    1000-305 Broadway, Winnipeg, MB R3C 3J7


    (204) 944-3770


    (877) 332-0575