Complaint & Dispute Agent
← Legal Optimizer
Vault
✓
Intake
2
Rules
3
Config
4
Dashboard
5
Detail
Response Rules & Escalation Criteria
Define complaint severity thresholds, escalation triggers, and resolution parameters.
Severity Thresholds
Low Severity Ceiling (Risk Score)
Standard response: 30-day window
Medium Severity Ceiling
Expedited review: 15-day window
High Severity Threshold
CCO review: same-day escalation
Auto-Escalation Trigger
Regulatory channel + score ≥ 60
Score ≥ 80 only
All regulatory complaints
Regulatory Filing Rules
FINRA Rule 4530 Filing
Auto-flag when damages ≥ $25,000
Auto-flag all written complaints
Manual determination
Form U4/U5 Amendment
Auto-prompt when damages ≥ $15,000
Manual review
Senior / Elder Protection
Auto-flag for FINRA Rule 2165 review
Standard processing
Arbitration Trigger
Auto-initiate when claim filed
Manual initiation
Resolution Parameters
Settlement Authority
CCO only
CCO up to $50,000, Board above
Compliance Committee
Goodwill Credit Range
Up to 15% of claimed damages
Up to 25%
Fixed amounts only
← Back to Intake
Continue to Config →