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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.   |
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 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. |
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. |
Entrepreneur
February 2007
Jacquelyn Lynn |
Apology Accepted E&O insurance can help make up for mistakes. |
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. |
Registered Rep.
April 1, 2006
Janet Arrowood |
Scary Story In a world where financial lawsuits regularly make headlines, advisors that ignore their E&O coverage do so at great risk to their careers and their pocket books. Legal fees alone can crater a wallet. |
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. |
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
February 2007
Kathleen M. McBride |
A Matter of Life and Health For many advisors who are affiliated with independent broker/dealers and either running, or employed by, a small business, health insurance coverage can be expensive and sometimes elusive. That may be changing. |
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. |
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. |
Investment Advisor
June 2010
Thomas D. Giachetti |
Independence's Issues There are four main challenges faced these days by independent broker/dealers. |
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
June 2007
Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms. |
Investment Advisor
March 2009
James J. Green |
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. |
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.
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? |
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. |
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? |
Investment Advisor
September 2008
Melanie Waddell |
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. |
Investment Advisor
May 2008
Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
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. |
Investment Advisor
July 2009
Jonathan Henschen |
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
Investment Advisor
May 2008
Thomas D. Giachetti |
Got Unhappy Clients? How to protect yourself from client complaints in volatile times. |
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. |
Registered Rep.
May 27, 2011
Diana Britton |
FAA Reorganizes Senior Execs to Focus on Recruiting Independent broker/dealer Financial Advisers of America has reorganized its senior management to support the firm's growth and allow senior executives to focus on recruiting advisors. |
Investment Advisor
May 2010
Marlene Y. Satter |
Easy Rider Redux Advisors might find a tough subject easier to broach with clients. |
Registered Rep.
August 1, 2004
David A. Gaffen |
The Cost of (Financial) Malpractice Insurance In this environment, the level of insurance, specifically called errors and omissions insurance, has become a more important factor in chosing a broker/dealer. |
Investment Advisor
December 2007
Angela Herbers |
Bottom Up Broker/dealer recruiting is largely a zero sum game. Here is why it more advantageous for B/Ds to help their existing advisors. |
Investment Advisor
January 2006
Melanie Waddell |
The Playing Field: Banking on Wealth Management The oldest baby boomers hit 60 next year, so now is as good a time as any to assess whether you're truly providing the wealth management services that your existing clients, and prospective ones, need. Help from a broker/dealer, consultant, or a colleague is well within your reach. |
Investment Advisor
May 2006
Kathleen M. McBride |
B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why. |
On Wall Street
September 1, 2013
Mason Braswell |
Pitfalls of Long-Term Care Insurance Products Designed to allay your clients' worst fears about aging, these insurance products sometimes come with their own nightmares. |
Financial Planning
April 1, 2007
Marshall Eckblad |
LTCI Gets a Second Wind Long-term care insurance is regaining credibility, thanks to financial planners. |
Registered Rep.
October 17, 2011
Alan Lavine |
Tune Up: Sometimes It Makes Sense to Exchange a Client's Life Insurance Policy Today's life insurance policy may provide more benefits at a lower cost than coverage purchased more than a decade ago. |
Investment Advisor
July 2007
Jonathan Henschen |
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... |
Financial Advisor
May 2008
David J. Drucker |
The Inconvenient Truth About Health Insurance Health insurance has become one more area of planning that finds itself on a growing list of risks advisors aren't adequately addressing in their clients' financial plans. |
Entrepreneur
June 2003
Mark Henricks |
Risky Business On the lookout for small business insurance? You might have to re-evaluate your risk tolerance first. |
Investment Advisor
September 2008
Philip Palaveev |
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong. |
Financial Advisor
July 2008
Allen Hamm |
A Better Option The long-term care insurance industry is up to a new trick: Marketing LTC insurance through groups. |
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
June 2009
Marlene Y. Satter |
What's In A Name There are several different classifications of insurance advisors should be aware of. |
Investment Advisor
August 2009
Marlene Y. Satter |
Side Effects Advisors might want to take a look at clients' term life insurance coverage. |
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. |
Registered Rep.
January 1, 2007 |
Insuring Your Future with Insurance? Insurance is an important component of wealth management, and too few reps have made the effort to fit it into client portfolios. Insurance is something you need to know how to use. |
Registered Rep.
January 1, 2005 |
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. |
Financial Planning
February 1, 2007
Elizabeth O'Brien |
Cover Me Health insurance options slowly expand for independent advisors. |
