Complaint & Dispute Agent
← Legal Optimizer
Vault
✓
Intake
✓
Rules
3
Config
4
Dashboard
5
Detail
Output & Workflow Configuration
Set up complaint routing, reporting preferences, and system integrations.
Complaint Routing
Low Severity Complaints
Branch Compliance Manager
Complaint Officer
Auto-process
High Severity Complaints
CCO + Legal Counsel
CCO
Compliance Committee
Regulatory Complaints
CCO + Legal + Outside Counsel
CCO + Legal
Senior / Elder Complaints
FINRA Rule 2165 team + CCO
Standard routing
Reporting
FINRA Rule 4530 Quarterly Summary
Auto-generate quarterly
Manual
Board / Management Reporting
Monthly summary
Quarterly
Ad hoc
Client Communication Tone
Professional + Empathetic
Formal / Legal
Concise
Document Generation
AI-assisted drafts
Templates only
System Integrations
Case Management
Built-in workflow
Salesforce
ServiceNow
CRM
Salesforce
Redtail
Wealthbox
None
Document Storage
Firm document vault
SharePoint
Box
Communication Archive
Global Relay
Smarsh
None
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