NEB Enhances Online
Ethics Archive
SAN DIEGO, CA, September 30, 2008—The National Ethics Bureau (NEB) has enhanced its online ethics archive by offering full text articles along with Google search capability.
The archive, located in NEB’s online newsroom, includes articles dating back to December 2004, published in magazines such as Senior Market Advisor, Boomer Market Advisor | Continued »
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NEB Provides Free Content to Financial Services Organizations Wishing to Promote Ethical Business Practices.
SAN DIEGO, CA, June 11, 2008—The National Ethics Bureau (NEB), a membership organization of background-checked financial professionals, has developed a new version of its Ethics Edge electronic newsletter for financial services organizations that wish to do their part to promote ethics business | Continued » |
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The National Ethics Bureau™ (NEB) is a leading advocate for business ethics in the financial services industry. NEB promotes ethical business practices through its trade-magazine columns, conference presentations, monthly newsletter, and website content. It also maintains a membership community of background-checked advisors who have agreed to uphold its principles and membership standards.
NEB offers related services such as state-approved ethics and compliance continuing education courses for licensed insurance agents and securities brokers, as well as for those holding accredited designations.
For the general public, NEB provides the ability to purchase a background check on any financial professional prior to doing business.
NEB is not a financial designation, nor does it endorse any products or services offered by its members or sponsors.
For more information, visit www.ethicscheck.com |
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SPECIAL ANNOUNCEMENT
NEB Introduces Groundbreaking
E&O Coverage |
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National Ethics Bureau members (and nonmembers with clean professional backgrounds) can purchase coverage under a new product to be issued by Continental Casualty Insurance Company (CNA) and administered by Marsh Consumer, a service of Seabury & Smith. Coverage under this product will cost up to 50% less than comparable coverage for higher risk individuals.*
NEB’s Preferred Risk E&O™ substantially lowers the cost of E&O insurance for NEB members. Reason: It allows agents to pay a premium commensurate with the risk they pose to the insurer. Since NEB members have passed a comprehensive series of background checks, CNA’s premium is substantially lower than the premium charged for non-qualifying risks. | Continued » |
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Senior Fraud Cases on
Fast Track
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| September 2008 |
FINRA is increasing the pace of investigations and enforcement actions against advisors who defraud older investors, according to the Wall Street Journal. FINRA’s goal: to protect seniors against unscrupulous financial advisors who take their money, leaving them unable to support themselves financially.
According to Susan Merrill, FINRA’s enforcement chief, FINRA investigation teams will have four months to complete their work. If they find wrongdoing and refer a case to FINRA’s enforcement division, the case will cut to the head of the queue. | Continued »
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| Rogue Advisors on Parade |
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Recent crimes and consequences in the
financial services industry.
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What Were They Thinking?
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“What was he thinking?” I heard this frequently after Eliot Spitzer resigned. I won’t retell the former New York governor’s tawdry downfall. But I will say his conduct highlights two qualities inappropriate in a public servant: arrogance (“I’m above the law”) and stupidity (“No one will notice”). |
These flaws, unfortunately, are universal. People of all professional, educational, or social standing believe (wrongly) that rules don’t apply to them and that rule breaking | Continued »
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| How to Leverage Your NEB Profile |
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Did you know that as an NEB member, you can publish a Professional Profile on the NEB web site? It’s a one-page summary of your NEB approval status and of your professional background. Why put up a Profile if you already have your own web site? For three reasons:
First, when your prospects come to our site to verify your background, they can choose to view two documents: your NEB Certificate of Approval and your Professional Profile. | Continued »
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Small-Town Ethics;
Big-Time Business |
Joseph Gleason learned about ethics from his grandfather in Byron, Illinois, a small farming community with 2,000 residents. His grandfather sold animal feed to farmers and used to bring Joseph and his twin brother, Tadd, along on sales calls.
“My grandfather used to sit and chat with his customers,” Gleason recalls. “He’d ask them about their farms and their families. Then he’d assess their needs for his products. I learned from him that being in sales isn’t about making people submit to your will. It’s about trying | Continued » |
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Contact us: Phone: (800) 282-1831 | www.ethicscheck.com
Copyright © National Ethics Bureau Inc. 2008. All Rights Reserved.  |
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