Blog

Don’t Overpromise and Under Deliver

Making false promises is not only detrimental to a firm’s reputation,...

Complete, Accurate and Timely

“The thing about information is that information is more valuable when...

Happy 4th of July!

The SEC and Courts May Consider Events Outside the Five Year Statute of Limitations in Crafting Enforcement Sanctions

By Andrew Dorman and Chetan Patil, Reminger Co., L.P.A. As a result...

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

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

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

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

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

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

Free Webinar: Tune in this Wednesday, June 4th

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

A Quick Note About Documentation

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

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

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