EO Headquarters

Our E&O HQ provides insight, guidance, and resources enabling ethical business practices and claim avoidance. Stay on top of the latest news, trends, & compliance at our E&O Headquarters sponsored by National Ethics Association. For more resources visit our sponsor’s Consumer Hub & Ethics Center pages.

E&O No: Do’s and Don’ts for Responding to Client Disputes

Posted by: EOForLess on November 17, 2014

Many financial advisors view E&O disputes as something that only happen to incompetent or criminal financial advisors. In reality, the odds of incurring a claim or lawsuit are quite high, with insurer statistics suggesting as many as one in seven advisors experience a claim at some point in their careers. Accepting this fact will equip […]

Good Business: 20 More Tips for Lowering Your E&O Risk

Posted by: Harry Lew on November 11, 2014

By the National Ethics Association As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they can be long and dense to work with. The good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices. […]

Good Business: 20 More Tips for Lowering Your E&O Risk

Posted by: EOForLess on August 13, 2014

By the National Ethics Association As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they can be long and dense to work with. The good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices. […]

20 More Quick Tips for Lowering Your E&O Risk in 2014

Posted by: National Ethics Association on February 11, 2014

Good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices. This article (Part 2) provides 20 more quick pointers for doing just that. Watch for more parts in the coming weeks.

Avoid Fear-Based Selling to Reduce Buyer’s Remorse and Complaints

Posted by: Harry Lew on November 11, 2014

Many agents spread lies about Social Security, Medicare, or FDIC insurance in order to move prospects from CDs into annuities.

Top 20 Ways to Lower Your E&O Risk in 2014

Posted by: Harry Lew on November 11, 2014

As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they can be long and dense to work with. The good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices. This article (Part 1) provides […]

Don’t Let Bad Bosses Create E&O Nightmares, Part 2

Posted by: Harry Lew on November 11, 2014

“Gray hat” bosses, i.e., people who may not ask you to break the law or do anything grossly unethical, but who urge you to bend the rules? Yes, “gray hatters” can be challenging.

Don’t Let Bad Bosses Create E&O Nightmares, Part 1

Posted by: Harry Lew on November 11, 2014

All bosses either wear white hats (play totally by the book), black hats (burn the book if it impedes sales), or gray hats (read only those pages that fit their purposes).

Unethical Competitors: Time to Remove the E&O Threat?

Posted by: Harry Lew on November 11, 2014

Is it time to blow the whistle? Perhaps, but don’t do so without thinking through the consequences. One is potentially attracting regulator scrutiny by stepping forward. Such is our distrust of government institutions these days that many people would rather ignore wrongdoing than risk making themselves known to authorities.

Partner with Care: Avoid Weak Links to Prevent E&O Lawsuits

Posted by: Harry Lew on November 11, 2014

One of the best ways to avoid e&o lawsuits is to protect your business by being selective in who you partner with. A recent Congress hearing give examples of how to avoid the weakest partner organizations.

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