Through your membership you will have access to boiler plate documents to protect your practice. News updates and industry specific knowledge bases, client management systems and access to dozens of techniques and practices to mitigate the possibility of litigious action through the FA Risk e-Defense Manager.
As part of your membership you have access to over 50 FINRA produced e-learning courses now available to eMitigation and eMitigationPLUS and E&O Deductible members. You will also have access to articles and information provided by other industry sources that we think you might find interesting and one of our premiere membership benefits is the ability to track your growth in areas important to your success and risk mitigation with the FA Risk Management Knowledge Tracking Tool and certificates of acknowledgement and proficiency.
Attorneys live and the strength of cases die by documentation. Having the Proper documentation available, recorded, and presentable; may be the difference between going to arbitration and not going. How to store records, what to keep, what to get rid of, what is valuable what is a waste of time, are covered in your training.
FINRA e-learning courses and FA Risk Knowledge Tracking Tool, will prepare you for and train you in how to deal with a complaint as well as keep you from getting one. Mitigating your Risk is the only way to prepare for the inevitable. Knowing what to do, how to respond, when it happens is the difference between living your life or being a victim to it.
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When I needed help regarding a bogus arbitration filed by a client of my old firm, Doug Schriner and FA Risk Management provided the advice and guidance at a critical point in my career. Their support helped me through the process and ultimately cleared my record of the false accusations. The value and service of FA Risk Management is something I recommend to every advisor.Tony Taddeo, CFP