FA Risk Management

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.

Learn more about the comprehensive benefits of an FA Risk Management membership.  >>

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…