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Recent Errors & Omissions Articles

Securities Suitability: What brokers need to know to stay out of...

Suitability remains an issue of concern for financial services regulators. Even though regulatory bodies have promulgated tighter regimens for assuring suitable sales, especially to...

Errors & Omissions Insurance Articles

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...

Good Business: More Tips for Lowering Your E&O Risk

As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they...

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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