We would be pleased to answer any questions you may have regarding our firm and welcome the opportunity to discuss how we can assist you in meeting your investment goals.
Email: info@doherty.ca
Corporate Headquarters:
56 Sparks St. Suite 700, Ottawa, Ontario, K1P 5A9
Phone: (613) 238-6727
Fax: (613) 238-3957
Montreal Office:
1 Place Ville Marie, Suite 1630 Montreal, Quebec H3B 2B6
Phone: (514) 875-2625
Toll Free: (888) 310-1712
Fax: (514) 875-6945
Complaints
Clients may direct any complaints relating to the account to their relationship manager, senior complaints officer and/or the compliance officer by submitting the complaint to info@doherty.ca. Independent dispute resolution services, in the event of unresolved complaints, are available free of charge and are coordinated by Doherty's Chief Compliance Officer.
If you have a complaint about our services or a product, please contact us at:
Doherty & Associates Ltd
56 Sparks Street, Suite 700
Ottawa, Ontario K1P 1A9
info@doherty.ca
You may want to consider using a method other than email for sensitive personal information.
Tell us
• when it happened
• what you expect, for example, money back, an apology, account correction, etc.
Help us resolve your complaint sooner
• Reply promptly if we ask you for more information
• Keep copies of all relevant documents, such as letters, emails and notes of conversations with us
We will acknowledge your complaint
We will acknowledge your complaint in writing, as soon as possible, typically within five business days of receiving your complaint. We may ask you to provide clarification or more information to help resolve your complaint.
We will provide our decision
We normally provide our decision in writing, within 90 days of receiving a complaint. It will include:
• a summary of the complaint • the results of our investigation• our decision to make an offer to resolve the complaint or deny it, and an explanation of our decision
If our decision is delayed
If we cannot provide you with our decision within 90 days, we will:
• inform you of the delay• explain why our decision is delayed, and
• give you a new date for our decision
You may be eligible for the independent dispute resolution service offered by the Ombudsman for Banking Services and Investments (OBSI)
If you are not satisfied with our decision
You may be eligible for OBSI’s dispute resolution service.
If you are a Québec resident
You may consider the free mediation service offered by the Autorité des marchés financiers.
A word about legal advice
You always have the right to go to a lawyer or seek other ways of resolving your dispute at any time. A lawyer can advise you of your options. There are time limits for taking legal action. Delays could limit your options and legal rights later on.
Taking your complaint to OBSI
You may be eligible for OBSI’s free and independent dispute resolution service if:
• we do not provide our decision within 90 days after you made your complaint, or• you are not satisfied with our decision
OBSI can recommend compensation of up to $350,000.
OBSI’s service is available to clients of our firm. This does not restrict your ability to take a complaint to a dispute resolution service of your choosing at your own expense, or to bring an action in court. Keep in mind there are time limits for taking legal action.
Who can use OBSI
You have the right to use OBSI’s service if:
• your complaint relates to a trading or advising activity of our firm or by one of our representatives• you brought your complaint to us within six years from the time that you first knew, or ought to have known, about the event that caused the complaint, and
• you file your complaint with OBSI according to its time limits below
Time limits apply
• If you are not satisfied with our decision, you have up to 180 days after we provide you with our decision to take your complaint to OBSI.
Filing a complaint with OBSI
Contact OBSI
Email: ombudsman@obsi.ca
Telephone: 1-888-451-4519 or 416-287-2877 in Toronto
OBSI will investigate
OBSI works confidentially and in an informal manner. It is not like going to court, and you do not need a lawyer.
During its investigation, OBSI may interview you and representatives of our firm. We are required to cooperate in OBSI’s investigations.
Information OBSI needs to help you
OBSI can help you best if you promptly provide all relevant information, including:
• your name and contact information• our firm’s name and contact information
• the names and contact information of any of our representatives who have been involved in your complaint
• details of your complaint; and
• all relevant documents, including any correspondence and notes of discussions with us
OBSI will provide its recommendations
Once OBSI has completed its investigation, it will provide its recommendations to you and us. OBSI’s recommendations are not binding on you or us.
OBSI can recommend compensation of up to $350,000. If your claim is higher, you will have to agree to that limit on any compensation you seek through OBSI. If you want to recover more than $350,000, you may want to consider another option, such as legal action, to resolve your complaint.
For more information about OBSI, visit www.obsi.ca