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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.
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.
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.
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.
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.
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.
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. 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.
Investment Advisor May 2008 Thomas D. Giachetti	Got Unhappy Clients? How to protect yourself from client complaints in volatile times.
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.
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, 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.
CFO April 1, 2008 Russ Banham	Retired but Not Forgotten How much D&O coverage do former officers and directors need?
CFO Kris Frieswick	Less for More Coping with the bear market in directors' and officers' liability insurance...
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.
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?
Financial Planning	Letters to the Editor E&O insurance coverage... Ibbotson controversy continues... Guaranteed lifetime withdrawal benefits...
Bank Director 1st Quarter 2009 Charles Keenan	Sleep Insurance: How the Market is Affecting Your D&O Coverage Banks face a double whammy of sorts, since rockier times will make it almost necessary to raise coverage limits for directors in order to retain or lure them.
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.
On Wall Street October 1, 2012 Lorie Konish	Settlement May Not End Merrill Lynch's Deferred Compensation Woes Exemptions and the chance to opt out have lawyers predicting the $40 million proposed deferred compensation plan settlement will not cease litigation against Merrill Lynch.
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?
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.
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.
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.
eCFO June 2001 Tim Reason	Riders of the Digital Age Security experts say assets that cannot be protected need insuring. Seems simple enough -- but surprisingly, many companies still don't carry insurance geared specifically for ebusiness...
Bank Director 4th Quarter 2009 Jamie Reeves	Evaluating Your D&O Protection The first step the board must take in steeling itself against liability is undergoing a thorough review of its insurance carrier. This interview offers tips on questions the board should be asking before the going gets tough.
Investment Advisor September 2007	No Assets, No Need For Insurance Letters to the editor: Look before you leap, then look again... Clarification...
Inc. September 2008	Insuring Your Business A closer look at the insurance coverage businesses should have includes consideration of growing companies and special circumstances.
On Wall Street September 1, 2010 Alan J. Foxman	Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more...
Financial Planning December 1, 2009 Donald Jay Korn	Prudent Policy Agents should help their clients reevaluate their insurance policies at the end of every year.
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.
Investment Advisor May 2010 Marlene Y. Satter	Easy Rider Redux Advisors might find a tough subject easier to broach with clients.
Financial Planning August 1, 2008 Charles Williamson	Risky Business When working with high-net-worth clients, it is of paramount importance to discuss property and casualty insurance.
Inc. April 2007 Dan Briody	Full Coverage How to hedge your cyber risk with insurance.
On Wall Street November 1, 2009 Thomas Lewis	It's Payback Time on Promissory Notes Firms have been fighting back against defecting advisors. Increasingly one of the most effective weapons in their arsenal is the enforcement of promissory notes.
Financial Planning July 1, 2013 Katie Kuehner-Hebert	Quitting Your Job? Create an Exit Strategy Advisors considering a change of venue need a game plan and a clear sense of who owns their client relationships.
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.
Entrepreneur June 2003 Mark Henricks	Risky Business On the lookout for small business insurance? You might have to re-evaluate your risk tolerance first.
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.
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.
Financial Planning April 1, 2008 Elizabeth O'Brien	Take Cover Complex state insurance laws and federal tax regulations have hampered financial firms' efforts to provide health benefits for their independent advisors. Yet advisor demand has spurred action and changes.
InternetNews January 18, 2006 Clint Boulton	ETrade to Cover Fraud Victims ETrade Financial Corp. is reaching out to customers who may be leery of online banking and investing, promising them full coverage in the event their personal information is used for fraud.
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 September 2009 Thomas D. Giachetti	Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration.
Investment Advisor June 2009 Marlene Y. Satter	What's In A Name There are several different classifications of insurance advisors should be aware of.
The Motley Fool January 25, 2007 Dan Caplinger	Fight for Your Rights: Health Insurance Claims Because you're paying for your health insurance coverage, you should get everything you're entitled to receive.
U.S. Banker March 2009 Glen Fest	D&O Sticker Shock As the credit crisis worsened last year and more and more financial institutions became targets of shareholder lawsuits, many banks were hit with up to 85% increases in their premiums for director and officer insurance.
Financial Advisor October 2007 Tracey Longo	Preventive Medicine A special report on how more financial advisors are helping clients consider the impact of sky-rocketing health-care costs on retirement.