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Protecting yourself from litigious action is a time consuming and expensive activity. Thousands of hours a year are spent industry wide creating and implementing various best practice solutions, including and certainly not limited to: disclosure statements, disclaimers, rules, laws, regulations, policies, procedures, employee training and other such items.
Not one rule or regulation or policy will keep someone from suing you. It still comes down to as it always does, how much pain can you take? Can you afford to defend a lawsuit? Attorneys are charging as much as $600-$1000 an hour. The average preparatory time is nearly 12 hours if you are not organized. Do the math. You haven’t even gone to court yet or to mediation/arbitration. The average unprepared registered rep will spend 1000 hours of his own time dealing with and preparing for his eventual arbitration. What do you earn an hour? Have you looked? $100 an hour? $500 an hour? $1000 an hour? You are the only one who is able to see the potential impact this may have on your life.
Consulting is and will be a huge part of your life. If you look at your profession and your personal life you are always engaged in some form of consulting. Your boss may consult with you for ideas and most assuredly your clients are looking for you to provide guidance to them, and they think its your job. by the way it is your job to a certain degree.
As many have found, answers to questions may be hard to find without an inordinate amount of legwork. Thats why we are here. FA Risk Consultative Resource is here to alleviate some of the stress and pressure you are encountering. by utilizing the resource that FA Risk provides you; you will be able to save potentially hundreds of man hours a year. We invite you to sign up for a free trial of our service and see if there is a benefit for you.
Through your membership you will recieve access to boiler plate documents, forms, Non-disclosures, disclosure forms, finance and accounting forms, and a myriad of other documents you never thought you needed or have been simply overlooking.
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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