Membership Benefits
We have hundreds of satisfied who rely on our programs for unparalleled training, educational materials and consultative services, but in the end what matters most is the TIME and MONEY they save by working with us.
It’s as simple as this. Our Members are individuals and small firms who understand the personal financial risk inherent in their line of work, but they don’t have the resources and background required to protect themselves effectively.
Imagine the benefits of:
- Understanding the things you’re doing correctly, but learning how to do them with greater efficiency and less risk
- Discovering where your knowledge and procedures should be improved, then taking quick, guided action before problems arise
- Receiving guidance on preparing for litigation or arbitration, saving you hours of time, guesswork and frustration
- Working with a highly-qualified securities litigator to help you achieve the best possible outcome
| Save Time | Save Money | FA Risk Management Exclusive Benefit |
|---|---|---|
| ✓ ✓ | ✓ | Run your business with greater efficiency and less risk |
| ✓ ✓ ✓ | ✓ ✓ ✓ | Understand your vulnerabilities and minimize risk before there is trouble. |
| ✓ ✓ ✓ | ✓ ✓ ✓ | Recieve hands-on, guided instruction to address issues correctly |
| ✓ ✓ ✓ | ✓ ✓ ✓ | Partener with a discreet, hands-on risk management expert to prepare for litigation or arbitration |
| ✓ ✓ ✓ | ✓ ✓ ✓ | Use your risk management expert as a liason between you and your litigator to keep legal costs down. |
| ✓ ✓ ✓ | ✓ ✓ ✓ | Leverage our connections to secure an experienced securities litigator to negotiate a favorable outcome |
| ✓ ✓ ✓ ✓ | *Get financial assistance to apply toward related litigation and arbitration expenses. |
Protect Yourself
Learn more about our unmatched risk management benefits
New Article
Read the latest article on BICE, the Best Investment Contract Exemption, is a trap.
FINRA Rule Filings
SEC Proposed Rules
@FArisk12
-
January 1, 1970via @
Testimonials
"In 2009, Financial Advisors Legal Association supported me in a $4 million arbitration case. This was an extremely complex case associated with a Tenant-in-Common property sale, which involved my broker dealer, multiple attorneys and due diligence officers, third party legal and due diligence parties, and voluminous case files. FA Legal engaged an attorney for my case who was very professional and thorough, who I would recommend for any representative in a similar situation. Through a group effort coordinated by FA Legal’s attorney, the case came to a satisfactory conclusion with no findings against the broker dealer or the financial representative. I believe that the result may have been less optimal without the professional involvement of FA Legal and their attorney. I would highly recommend both for litigation protection or defense for a representative desiring professional representation."
Dr. Gary Ackerman
Member since October 10, 2005
