Broker-Dealer Small & Associates Has Received a Complaint About One

Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small & Associates is required to

A) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
B) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered agent.
C) call the client who complained and inform him of the disciplinary action that will be taken against Mr. Gaunt.
D) provide the client with a written response to the complaint.