If you’re an investment advisor, one of the quickest ways to run afoul of the Securities and Exchange Commission (SEC) is to make statements in your Form ADV that you fail to execute in reality. When this happens in connection with invest-advisory fees, the SEC will be especially unhappy with you. To motivate advisors to […]

Rogue Advisors on Parade:  A judge threw the book at three life insurance agents for submitting phony applications in order to score insurer commissions. The judge ordered the California agents to pay $2.83 million in restitution to the victimized insurer and sentenced them to prison for submitting fake life insurance applications. The agents devised a […]


What’s the best way to keep your life & health insurance business protected against client lawsuits? The most important, obviously, is to have E&O insurance. But close behind is making sure your business practices don’t make you vulnerable to common E&O insurance claims. According to a major E&O insurer, they are most likely to arise […]


Advisor Alert:  A federal court has vacated the Department of Labor’s fiduciary rule for retirement accounts. But the fiduciary principle is far from dead. Not only are state jurisdictions adopting their own fiduciary standards, but the Certified Financial Planner Board of Standards also has just approved a new Code of Ethics and Standards of Conduct. […]

E&O 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.


Recent Posts