From time to time, a concern or complaint may arise in the handling of your account or your relationship with your investment advisor. When this occurs, Leede is committed to providing you with a prompt and fair resolution to the issues raised.

If the nature of your complaint is service or administrative related, such as late statements or incorrect interest charges, you may wish to first try resolving the problem by speaking to your investment advisor. Many service and administrative related complaints are quickly and easily resolved in this manner.

If you are unable or unwilling to contact your Investment Advisor, we encourage you to contact the Branch Manager of your office as follows:

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Calgary
Michael Daniels
3415 – 421 7th Ave SW
Calgary AB T2P 4K9
(403) 531-6800

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Vancouver
Clark Macdonald
1075 W Georgia St #400
Vancouver, BC V6E 3C9
(604) 658-3000

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Kamloops
Cathy Rogers
200 – 301 Victoria Street
Kamloops BC V2C 2A3
(250) 374-3150

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Toronto
Todd Doige
1000 – 110 Yonge Street
Toronto ON M5C 1T6
(416) 365-8000

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Montreal
Todd Doige
710 – 2000 rue Peel
Montreal QC H3A 2W5
(416) 365-8000

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If the nature of your complaint is more serious, or alleges misconduct, you should contact Leede’s Designated Complaints Officer. While you may wish to make the initial contact by phone, we strongly encourage you to put complaints of this nature in writing. Some examples of misconduct would be theft, fraud, misappropriation or misuse of funds or securities, forgery, unauthorized trading, breach of confidentiality, unsuitable investments, misrepresentation or other inappropriate financial dealings with clients.

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The Designated Complaints Officer for Leede is:

Chief Compliance Officer
3415 – 421 7th Ave SW
Calgary AB T2P 4K9
(403) 355-5950
Email: jbreen@leede.ca

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Regardless of whether you decide to make your complaint verbally or in writing, Leede will conduct a preliminary investigation of your complaint, unless it can be immediately resolved. As well, we will formally acknowledge your complaint in writing within 5 business days of receiving the complaint, and we will provide you with the name of the person who will be handling your complaint, and with a copy of the CIRO brochure: “How to Make a Complaint”. If you wish an update on the status of your complaint, you may contact the person handling the complaint.

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Once Leede completes its investigation of the complaint, the firm will provide you with its decision within 90 days and will include: a summary of the complaint, the results of the investigation, and our decision along with an explanation. If the firm’s decision is delayed, we will inform you of the delay, the reason for the delay and provide a new date for our decision. You are eligible for the independent dispute resolution service offered by the OBSI if the firm does not provide its decision within the 90 days or if you are not satisfied with the firm’s decision. You have 180 days to take your complaint to the OBSI. Going to the OBSI does not restrict your ability to take a complaint to a dispute resolution service of your choosing or to bring an action in court. If a Quebec resident, you may consider the free mediation service offered by the Autorite des marches financiers. In our response letter, we will also provide you with a summary of the options available to you in the event that you are not satisfied with Leede’s proposed resolution.