File a Complaint

The following information is provided to assist you in becoming acquainted with the Institute’s investigation and complaint procedures.

Complaint Procedures:

Complaints Against the Institute's Certified Professionals.

The Institute requires its members and certified professionals to maintain high ethical standards. The Investments & Wealth Institute (Institute) has adopted a Code of Professional Responsibility (Code), Disciplinary Rules and Procedures (Rules), and/or other standards which set forth the standards of conduct that the Institute requires of its Licensees, Applicants, Candidates, and Members. The Rules also set forth a fair and objective disciplinary process ensuring that those who are respondents in the disciplinary process are afforded due process.

Anyone can submit a confidential complaint against an Institute designee if you feel that such designee has violated the Code or Rules. 

As stated in the Rules, the Institute’s Board of Directors has appointed volunteers to serve on its Professional Review Board, which is a peer review board charged with implementing enforcement procedures for the Code.   

The Institute takes third party grievances seriously and will investigate it objectively and impartially.  The Institute will treat the grievance as confidential within the maximum bounds permitted by law.  The Institute will not report the results of its investigation to the third party making the grievance. However, the Institute’s disciplinary actions will be transparent in accordance with the Institute’s Privacy Policy. 

Listing of public disciplinary actions taken by the Institute's Professional Review Board→

Submit a Complaint:

Grievances may be submitted to the Institute via U.S. mail:

  1. Download the Grievance Form

  2. Complete form and mail to:

The Investments & Wealth Institute
Attn: Complaints
5619 DTC Parkway
Suite 600
Greenwood Village, CO 80111

Your written grievance should include important information surrounding the circumstances of your complaint, including photocopies of relevant letters, contracts, agreements, or other documents, which should accompany the Grievance Form. Institute staff may request additional information if needed and may request a personal interview if it appears necessary. The public should be aware of normal remedies under state and federal laws and regulations with applicable regulatory bodies and should also avail themselves of other avenues.

Certificant and Candidate Complaint Process

Certificants and candidates can file a complaint with Investments & Wealth Institute about certification policy, practice, or decisions. Complaints must be in writing, and can be submitted by email, mail, or fax to Investments & Wealth Institute. Complaints must originate directly from the certificant and be incorporated into the Certification Complaint Form or the Candidate Complaint Form. All complaints will be reviewed by an Investments & Wealth Institute management team including its Chief Executive Officer.  

After review, complaints involving a request to change certification policies may be forwarded to the appropriate volunteer body with governing authority over the particular certification policy. With regard to complaints about all other certification activities, the certification department management team will make a determination. If the complaint does not relate to certification activities, it will be forwarded to the Senior Director of Administration, General Counsel, and/or Chief Executive Officer for review and resolution. All decisions are final and not subject to appeal.

disciplinary rules and procedures→