In this eight-part video series, Ellen Bessner, partner, Babin Bessner Spry LLP, speaks with host Dan Richards about the most common reasons advisors get sued and how to steer clear of lawsuit risks. Photo copyright: halfpoint/123RF.
March 20, 2017
In this eight-part video series, Ellen Bessner, partner, Babin Bessner Spry LLP, speaks with host Dan Richards about the most common reasons advisors get sued and how to steer clear of lawsuit risks. Photo copyright: halfpoint/123RF.
March 20, 2017Ellen Bessner and Dan Richards discuss how advisors should respond when they are audited by a regulator (Part 8 of 8)
Ellen Bessner and Dan Richards discuss the steps you need to take right away if a client makes a complaint that may involve a lawsuit (Part 7 of 8)
Ellen Bessner and Dan Richards explain that an issue with one regulator is increasingly requiring advisors to respond to several regulatory bodies (Part 6 of 8)
Ellen Bessner and Dan Richards explain three common approaches to managing clients' risk tolerance that leave advisors open to litigation risk (Part 5 of 8)
Ellen Bessner and Dan Richards explain three key common know-your-client pitfalls that can lead to lawsuits (Part 4 of 8)
Ellen Bessner and Dan Richards discuss the key takeaways from the OSC's 2015 mystery shop exercise and give tips on handling regulators' upcoming mystery shops (Part 3 of 4)
Ellen Bessner and Dan Richards discuss three common advisor shortcuts that can lead to lawsuits in the long term (Part 2 of 8)
Ellen Bessner and Dan Richards discuss how to screen out problem prospects before they become clients (Part 1 of 8)
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