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Errors & Omissions Insurance Articles

Make A PACT For Trustworthy Websites

Back in the dark ages of the Internet—say, around Y2K—financial advisor web sites were as primitive as Fred and Wilma Flintstone’s Bedrock home.  Yes,...

Looking for a New BD, FMO, or RIA? Don’t Forget to Check out their...

Deciding which broker-dealer (BD), financial marketing organization (FMO), or registered investment advisor (RIA) with whom to affiliate is never a trivial matter. Typically, financial...

Let Lying Dogs Sleep: Time to Abolish Misrepresentation?

For many insurance and financial advisors, misrepresentation has become just another sales technique. For financial institutions, it’s become an accepted cost of doing business....

Honesty first: 8 steps to finding trustworthy employees

If you’re a solo practitioner looking to hire your first employee, you’re no doubt asking yourself: “How do I hire an honest employee?” If you’ve...

The Four Temptations of a Financial Advisor

Even the best-intentioned financial advisor can fall prey to the temptations of unethical conduct. How? By giving in to these four seductive pressures. Living...

Ethical Moments of Truth: Will You Rise to the Occasion?

Have you or your employees ever faced an angry customer? Then you’ll recognize the interaction as a “moment of truth” in the customer’s relationship...

E&O No: Do’s and Don’ts for Responding to Client Disputes

Many financial advisors view E&O disputes as something that only happen to incompetent or criminal financial advisors. In reality, the odds of incurring a...

Do Your Marketing Seminars Flunk the Ethics Test ?

According to a recent study, six in 10 workers say they and/or their spouse have less than $25,000 in total savings and investments (excluding...

Be safe, not sorry: Your E&O documentation checklist

Full documentation of your insurance or financial services cases is your best E&O prevention strategy. But like getting quarterly dental cleanings or an oil...

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