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How to Select the Right Coverage- Broker Dealer E&O

06.24.2014

When it comes to Errors & Omissions Insurance, not all...

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“Never Put Off Till Tomorrow What You Can Do Today”

06.10.2014

Simple tip for Registered Representatives to reduce risk: Stop Procrastinating! Read...

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Do Broker/Dealers Need to Offer Clients Better Protection from Data Theft?

06.09.2014

The Securities and Exchange Commission (SEC) recently announced its plan to...

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Free Webinar: Tune in this Wednesday, June 4th

06.02.2014

Webinar Reminder: Tune in this Wednesday, June 4th at 10:00 AM...

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A Quick Note About Documentation

05.26.2014

When it comes to loss prevention, insurance agents and advisors alike...

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New Webinar Announcement! Recent Developments in Financial Institution/FINRA Claims

05.22.2014

Topic: Recent Developments in Financial Institution/FINRA Claims Hosted By: Lancer Claims Services, a...

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SEC Cyber Risk Exam Guidelines- Would your Firm “Pass the Test”?

05.13.2014

The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently released...

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All in a Day’s Work

05.12.2014

Are you a Registered Rep who employs an assistant? If...

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Are you turning down prospects?

04.24.2014

Are you turning down prospects? If you’re not using social media,...

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Don’t Touch My Stock!

04.10.2014

Registered Representatives can help themselves avoid loss and reduce exposures using...