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Financial Advisor June 2005 David J. Drucker	Filling The Gaps In E&O For financial advisors, simply remembering to pay your annual E&O (errors & omissions) premium while going about business as usual may give you a false sense of security, not to mention some nasty surprises.
Financial Advisor June 2004 Gregory Bresiger	Advisors Are Living Dangerously Professionals continue to grapple with the question of errors and omissions insurance coverage. They believe that it is unnecessary. These uninsured advisors, one insurance executive says, run in the thousands.
Financial Planning May 1, 2008 Dave Lindorff	E & Oh, No Errors and omissions insurance is the must-have policy for financial professionals. But many planners don't have it because of a combination of cost and coverage problems.
Registered Rep. September 1, 2004 Jason Van Steenwyk	E & O and U Since 2001, advisors nationwide have been rocked with increases in professional liability insurance premiums.
Investment Advisor March 2006 Robert F. Keane	Safety First No one wants to pay for E&O insurance, but advisors admit it helps them sleep better.
Commercial Investment Real Estate May/Jun 2015 Mary Stark-Hood	Liability Solutions Commercial real estate practitioners need to be concerned about liability issues that can result from handling complex transactions. A comprehensive real estate errors and omissions policy is a necessity.
Investment Advisor July 2007 Melanie Waddell	Protect Yourself It's an annoying but necessary task: here's the latest intelligence on how to guard your financial practice from both the regulators and your clients.
Investment Advisor May 2008 Thomas D. Giachetti	Got Unhappy Clients? How to protect yourself from client complaints in volatile times.
Registered Rep. April 1, 2005	Death by Nickels and Dimes Although I signed a contract that stipulated ticket charges would be $15, they are now up to $35. Can I do anything to avoid paying more or even go back to the original number?
Entrepreneur August 2004 Jacquelyn Lynn	Going Separate Ways Pay attention to "separation of insureds" in your company's insurance policies. If the company is sued over bad behavior by one employee, innocent parties may get separate treatment.
Entrepreneur February 2007 Jacquelyn Lynn	Apology Accepted E&O insurance can help make up for mistakes.
Registered Rep. February 1, 2003 Jerry L. Reiter	The Blame Game It's hard to say when the targeting of financial advisors for litigation reached its peak -- or whether it has even peaked yet. So how to protect yourself?
Registered Rep. July 9, 2010 Jerry Gleeson	Broader Fiduciary Standard Could Kick Up B/d Insurance Bills Will a broader application of the fiduciary standard be accompanied by higher insurance costs? Some broker/dealers are bracing for the possibility.
Registered Rep. June 27, 2011 Diana Britton	The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home.
Investment Advisor April 2008 Marlene Y. Satter	Safe as Houses Are those in the real estate industry protected from lawsuits? Is errors and omissions insurance the answer for them?
Registered Rep. September 26, 2014 Mindy Diamond	Take the Sunset Package or Sell the Business? For employee advisors, exploring your firm's sunset program might be a sound way to face retirement.
Financial Planning April 1, 2005 Steven K. McGinnis	Tin Shields As investor lawsuits mount, errors and omissions insurance has become harder to get--and easier to lose.
Investment Advisor July 2006 Kathleen M. McBride	B/d Briefing: Two Faces of Wall Street Few financial professionals expect to work a 40-hour week on Wall Street. So it was surprising to see the extent of rep participation in class-action lawsuits over broker overtime, and the astounding settlements that have been awarded.
Investment Advisor May 1, 2011 John Sullivan	Catching up with... Joe Richard "The difference is we're smaller," says Joe Richard, when asked what, specifically, Wall Street Financial Group does better than anyone else.
Registered Rep. May 5, 2010 Kristen French	Small B/Ds in A Crunch, Expect More Closures, Mergers In 2010 Squeezed by investor lawsuits, rising compliance and insurance costs, as well as departing advisors and clients, some of the industry's smallest independent broker/dealers are struggling to stay afloat.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.
CFO December 1, 2002 David M. Katz	Cover Me Anyone searching for D&O coverage will find it more expensive and less inclusive than ever before.
CFO April 1, 2008 Russ Banham	Retired but Not Forgotten How much D&O coverage do former officers and directors need?
Financial Advisor July 2008 Eric Rasmussen	Taking Cover You can make life easier for clients later if you push them to get excess liability insurance now.
CFO March 15, 2006 Anne Stuart	Serenity Now! Board members worried about compliance-related lawsuits may want to revisit their directors' and officers' insurance policies.
CFO April 1, 2009 Russ Banham	A Tale of Two Markets Are your directors'-and-officers' liability insurance premiums about to soar? That depends on which industry you're in.
Financial Planning June 1, 2007 Kathy Gevlin	Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.
On Wall Street September 1, 2012 Elizabeth Wine	Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.
Financial Planning September 1, 2008 John J Bowen Jr	Time to Say Goodbye Today's most successful advisors recognize a simple but powerful fact of business: It's better to work with a small number of great clients than to serve a huge base of clients who are only mediocre.
On Wall Street September 1, 2011 Nick Georgis	Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.
Registered Rep. August 29, 2012 Jerry Gleeson	Devil Take the Hindmost The headlines in the media note that advisor headcount was down 2.3 percent overall in 2011. But it was the independent broker/dealer market that accounted for the biggest hit in the numbers.
Investment Advisor June 2010 Thomas D. Giachetti	Independence's Issues There are four main challenges faced these days by independent broker/dealers.
Inc. September 2004 Dimitra Kessenides	Risky Business In the last five years, one in four private companies has been sued by a current or former employee, according to a recent survey. The right insurance policy can be the best defense against costly lawsuits.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Registered Rep. May 9, 2011 Gleeson & Britton	New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer.
Registered Rep. March 1, 2008	How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition.
Registered Rep. April 1, 2005 Luxenberg & French	A Pile of Reasons Regulators and broker/dealer management have gone overboard with mutual fund disclosure. Take the case of the B-share class of mutual funds.
Financial Advisor October 2006 Eric L. Reiner	P&C Insurance For The Rich And Famous These clients' unique needs warrant attention from advisors. Homeowners... Flood Insurance Gets Personal... Personal Director's Liability Insurance... etc.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Registered Rep. June 30, 2010 Christina Mucciolo	Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.
Registered Rep. April 1, 2006 Kristen French	Your Fees Under the Regulator Microscope Financial advisors had better be able to justify their fees, because regulators have been busy examining fees charged to retail clients.
Registered Rep. June 4, 2013 Diana Britton	Fading Bull Our annual compensation survey shows advisors are riding the market rally -- so what happens when it ends?
Investment Advisor May 1, 2011 Janet Levaux	Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm
Registered Rep. July 1, 2006 Christopher O'Leary	Healthy Returns Not a lot financial advisors have learned how to help their small business clients survive the health-insurance crunch, which is a mistake. Health care expenses take up a huge part of someone's cash flow. It could be a real niche for planners.
Investment Advisor November 2008 Robert F. Keane	Problem Solver Coastal Financial Advisor Dennis O'Brien wants to help people, and the more difficult their situation, the more he likes helping them.
Registered Rep. December 16, 2009 Halah Touryalai	Wirehouse Switching Slows in Second Half of 2009 In November, just 177 advisors in the wirehouse channel switched firms, the smallest monthly number all year, according to Discovery Database.
Financial Planning November 1, 2009 Robert Pozen	Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.