Risk Avoidance

Brokers may finally see the light at the end of the expungement tunnel.  Over the last month, registered representatives have received some surprisingly good news relating to their CRD licensing

Continue Reading Is There a Light at the End of the Tunnel? CRD Black Hole May be Ending…

In my practice defending broker-dealers and investment advisors from customer complaints, I have seen most clients fail to employ the easiest risk avoidance technique.  Frequent communication with their clients.


Continue Reading Communicating With Your Clients; Not A Novel Way To Avoid Risk