1 out of every 25
finance professionals will face the threat of litigation or arbitration at some point.
Even the most meticulous financial planners, advisors and managers are at risk of losing everything due to litigation or arbitration. Every conversation you have with a client, every piece of advice you offer and every document you sign increases your risk geometrically.
Standard E&O insurance doesn’t come close to providing the right help you need to prepare for, defend yourself and recover from a lawsuit ─ the average deductible is $50,000, a defense lawyer can run between $600 and $1000 per hour, and you can’t put a price on your reputation.
But what if you could supplement or replace your E&O with a smart, comprehensive Risk Management with protection that covers EXACTLY what you’ll need to defend yourself from an attack?
What are FA Risk Memberships?
eMitigationMemberships– From understanding your liability to organizing your documentation and building your defense, we’re with you every step of the way. Our discreet risk management experts who will guide you through the entire process and help you achieve optimal results.
Peace of mind – We can help you understand your risk before you get into trouble, take corrective actions to lessen exposure to future risk, and build a solid, affordable defense with confidence.
- Financial support – E Mitigation PLUS helps you cover legal expenses directly related to litigation and arbitration.
Why Do I Need a Membership?
To better manage your risks with costs approximating LESS THAN HALF of the average E&O deductible today.
For access to a dedicated, hands-on risk management consultant who will provide a timely, realistic view of your liability and help you thoroughly prepare for your defense. Shave hours off your preparation time by working effectively!
To secure a reputable, highly-experienced, securities litigator to help you negotiate the most favorable legal outcome for your unique situation.
To remain “in the know” with comprehensive risk management tools designed for individuals and small firms.
HOW do I take action?
It’s easy if you’re willing to put the right procedures and processes in place before you expose yourself to greater problems. The best way to protect your future from your past by acting now.
Give us a call for a complimentary, in-depth overview of FA Risk Management services, or sign up today.
Free Risk Assessment Quiz
Test your knowledge of liabilities and procedures with this quick, no-obligation quiz. Real-world scenarios challenge you to select the best course of action to minimize your personal risk. The answers may surprise you…
Learn more about our unmatched risk management benefits
Read the latest article on BICE, the Best Investment Contract Exemption, is a trap.
FINRA Rule Filings
SEC Proposed Rules
December 31, 1969via @
On several occasions recently I needed answers to complex compliance questions fast. Each time I called Doug Schriner at faRiskManagement, and each time I received timely, authoritative answers without the frustrating "l'll get back to you later" responses I so often hear from others. Doug's depth and breadth of knowledge about compliance issues that impact my multi-disciplinary practice is amazing, and his ability to simplify cumbersome regulatory "legaleze" and integrate compliance issues from multiple financial arenas illustrates a firm grasp of his craft and marks him as a real professional. A relationship with Doug and faRiskManagement is well worth the cost of membership, especially in the currently expanding and sometimes hostile regulatory environment. Thanks, Doug, for providing access to professional advice for those of us who provide professional advice; and for answering your telephone. You've been a godsend!Benny M. Turner, Founder and President
Turner Financial Group, Inc.