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Advisor Alert: Rogue Broker Gets the Boot!


­A Cautionary Tale: After 50+ Disclosure Events, Rogue Broker Gets the Boot For years, we’ve been preaching to financial professionals about the importance of keeping their compliance records free of black marks. Our argument: that all it takes is one bad disclosure to besmirch your record. And now that sanction reports live forever on the […]

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Principled Selling: Learn Why Insurance Professionals Need a Personal Ethics Code


Principled Selling: Why Insurance Professionals Need a Personal Ethics Code The demands placed on life, health, P&C agents, and investment advisors can be intense. But even worse, they can be in conflict with each other. Your client may want you to do something that your agent or company prohibits. You may wish to do something […]

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Confused about E&O ­Insurance? Check Out This Simple FAQ


Has there ever been an easy-to-understand financial-services product? Even for those in the business, life insurance and investment products can be complicated. This is understandable, of course, because with so much money at stake, product providers must define their offerings using precise, legal terms. Unfortunately, this can make their policy documents difficult for consumers to […]

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Rogue Advisors on Parade: The Mad Trader, Globe-Trekking Moocher, Ponzi Checkwriter


A Former Ameriprise Financial broker has been kicked out of the industry for excessive and unsuitable trading of senior accounts. FINRA also sanctioned broker Larry M. Boggs for exercising account discretion without written authorization. Case in point: Boggs made 101 transactions on the account of an 82-year-old university professor whose investment objectives were growth and […]

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.


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