Public Customer Arbitrations

In the hectic world of financial services, registered representatives and investment adviser representatives are always looking to increase their assets under management. At what cost? Are there situations where you
Continue Reading When just saying “no” is a good thing

Over the years that I have defended broker-dealers and investment advisors on customer-initiated claims, I have seen many things that would make any compliance officer cringe. One spine tingling (not
Continue Reading Don’t Argue; The Client Is Always Right Even When They Are Not

It was great speaking at the May 17 New York NSCP regional conference on risk issues facing firms where Ernie Badway and I discussed cyber-security, risk issues, regulatory matters, issues
Continue Reading Take Away From The NSCP New York Regional Conference

Most people say that New Year resolutions are only as good as the paper on which they are written. Notwithstanding that ringing endorsement, I will give it a shot.

Here
Continue Reading Ten New Year Resolutions That Will Help Your Firm

Not too long ago, I tried a case that had, among other issues, the improper use of the advisor’s personal email account. That improper use serves as a valuable lesson
Continue Reading Do you really need a reason why not to provide your client with a personal email address