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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"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