Making a complaint - Brokers

How do I make a complaint against Thomas, Carroll (Brokers) Limited?

Please will you:

Contact our Risk & Compliance Director, Julie Waters, either verbally, by email or in writing by post, who will take details of your concerns and ensure the matter is thoroughly investigated.

How to contact us:

By telephone on 02920 887733

By email at julie.waters@thomas-carroll.co.uk

In writing at:

Thomas, Carroll (Brokers) Limited
Pendragon House
Crescent Road
Caerphilly
CF83 1XX

We will:

Acknowledge receipt of your complaint, including Data Protection Complaints, within five business days of receipt whether your complaint is made verbally or in writing.

If the complaint can be resolved within five business days, our acknowledgement letter will also outline the result of our investigation, unless the complaint can be resolved to your satisfaction by the end of three business days after receipt, when we will provide you with a summary of the resolution of the complaint.

If our investigation has not been completed within five business days, our acknowledgement letter will confirm that we will:

Investigate the complaint and aim to respond within four weeks of receiving the complaint
Explain that if we cannot complete the investigation within four weeks of receiving the complaint we will write again giving the reasons for the delay
Explain that on completion of our investigation we will inform you of the outcome and the options available
If the complaint is about another party, such as an insurer with whom we have placed business, we will refer details of the complaint to the third party and confirm this course of action to you

For Financial Services Complaints

While we would always aim to complete an investigation within eight weeks, if, for any reason, our investigation is not concluded within this period, we will write to you to inform you of the reasons for the further delay, when we can expect to be in a position to issue a final response and advise that if you are not satisfied with our progress you may refer the complaint to the Financial Ombudsman Service. See www.financial-ombudsman.org.uk for further details.

Immediately on completion of our investigation, we will write to you notifying you of the outcome.

If, after following our complaints procedure, you are still not satisfied with the outcome, you may have the right to take your complaint to the Financial Ombudsman Service. In these circumstances this must be done within six months of our final response, otherwise you may lose this right. When providing our final response, we will provide you with contact details for the Financial Ombudsman Service, but information can also be found on their website: www.financial-ombudsman.org.uk and their contact details are:

The Financial Ombudsman Service
Exchange Tower
London
E14 9SR

Tel: 0800 023 4 567
Email: complaint.info@financial-ombudsman.org.uk

Please note that the Financial Ombudsman Service will only consider complaints from:

Consumers (private individuals acting for the purposes which are wholly or mainly outside that individual’s trade, business, craft or profession)

Micro-enterprises (businesses employing fewer than 10 persons and with a turnover or annual balance sheet total not exceeding €2 million)
Other small businesses (with an annual turnover of below £6.5 million and less than 50 employees or with an annual balance sheet total of below £5 million)
Charities with an annual income of under £6.5 million
Trustees of a trust with a net assess value of under £5 million

For Data Protection Complaints