Everyday Risk Avoidance Techniques

Law360, New York (December 10, 2008, 12:00 AM EST) -- Over the past 11 years that I have defended financial advisers and their employers, it has become readily apparent that many customer-initiated arbitrations are not necessarily the result of malfeasance or even negligence. Instead, the seeds of many potential problems are sown at the initiation of the relationship or innocent missteps in client management.

All too often I hear the rhetorical question of: “I worked so hard, and went out of my way for this client, so why am I being sued.” In most instances the...
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