Discover FA Risk Management
Discovering something new can be exciting. As an educational company FA Risk Management is dedicated to bringing you the finest quality training available in the industry. With experienced coaches and industry professionals to guide you through the ever increasing plethora of regulations, we choose for you to be great at what you do. As you navigate through the website you will find articles and training information that is up to date, timeless and useful.
Unlike many other member driven websites this one is designed for you and your practice. You won't find large advertisements and flashing banners to distract you from what is important to you. We invite you to be engaged in the website by communicating to us your wants needs and desires for a beneficial relationship with us. We invite you to communicate with us should you have any questions about any of the training material you encounter.
We ask that if you got something from the training and found that it is beneficial to your life that you share it with your colleagues and refer them to us. As a member driven organization we are able to leverage certain relationships with outside entities to offer you more in the way of benefits.
Thank you for sharing your time with us and congratulations on taking the first step to taking control of your practice.
We promise to stand with our members in their darkest hour. We give our members access to information and tools to increase performance in their chosen profession. We promise to effectively deliver to our members counsel, advice, strategies, and open judgment-free conversations, which will positively impact their business, their clients, and their family.
Why We Exist
The most important aspect of preserving your reputation is litigation avoidance and when you are faced with client arbitration, or litigation we have professional resources to get you through what can be a miserable experience if not handled effectively.
FA RISK is in the business of empowering our members to their greatest potential and mitigating the risk to their lifestyle. Our members enjoy and experience peace of mind derived from the knowledge...
What To Expect
One claim against you could cause your demise. A culmination of illegitimate claims can quickly destroy your reputation and your future as a financial professional. To prevent your potential demise you must structure your business and your personal affairs for maximum protection. In other words you need to implement a structure and develop habits that will protect your practice and your lifestyle.
Litigation is the #1 reason a financial professional, Broker Dealer firm or an Insurance Agency will go out of business. Some statistics place the financial professional as the #1 litigious target of any profession in North America more so than Doctors. Litigation is not about fairness, but economics. The majority of litigious attacks against financial professionals are groundless, many Financial Professionals and Firms will go bankrupt and lose their business defending their integrity.
Forget about philosophy, fairness and fault.
Instead you must focus on the economics of litigation.
Learn more about our unmatched risk management benefits
Read the latest article on BICE, the Best Investment Contract Exemption, is a trap.
FINRA Rule Filings
SEC Proposed Rules
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When I needed help regarding a bogus arbitration filed by a client of my old firm, Doug Schriner and FA Risk Management provided the advice and guidance at a critical point in my career. Their support helped me through the process and ultimately cleared my record of the false accusations. The value and service of FA Risk Management is something I recommend to every advisor.Tony Taddeo, CFP