NEB and ProducersWEB.com Peer into Future with TrendWatch 2.0 Podcast Series.
SAN DIEGO, CA, July 14, 2009—To help financial professionals benefit from emerging industry trends, National Ethics Bureau (NEB) has once again partnered with ProducersWEB.com to produce a monthly podcast series. Entitled Trendwatch 2.0, the series is available exclusively on ProducersWEB | Continued » |
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Senior Market Advisor Not Gambling on Speakers at Upcoming Las Vegas Expo
SAN DIEGO, CA, July 14, 2009—Senior Market Advisor Expo, the industry’s top event for financial advisors who serve seniors, has begun background checking selected speakers in an effort to allow only the highest quality | 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 also sponsors an affordable errors-and-omissions program and state-approved ethics and compliance CE courses for licensed insurance agents and securities brokers.
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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New NEB Service
Prevents
Fatal
E&O Lapses
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Have you ever forgotten to renew your errors and omissions (E&O) insurance? Well, you may have created a ticking time bomb: an
E&O coverage lapse.
But now there’s help. NEB has launched a free, automated renewal reminder that can prevent an uncovered E&O claim from destroying your business.
The problem is most E&O insurance policies are written on a “claims made and reported” basis. This means they cover claims that are “reported” during the current policy period even if acts or omissions giving rise to the claim happened in | Continued » |
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SEC Approves New Limits on Motions to Dismiss FINRA Arbitration Cases |
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The Securities and Exchange Commission has approved a new rule that will limit motions to dismiss arbitration before investors present their case. This makes it all the more important to avoid consumer disputes in the first place.
The new rule responds to investor concerns about such motions. “Although arbitrators rarely grant (them), it is costly and time consuming for parties to defend motions to dismiss,” says Linda Fienberg, President, FINRA Dispute Resolution. “This new rule sharply limits the bases for making motions to dismiss and penalizes those who abuse the dismissal process.”
Once FINRA publishes its Regulatory Notice, arbitration panels will only be able to grant these motions for three | 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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Sharks Swirling: Preserve Your Business Now
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In recent months millions of investors lost trillions in net worth. People who work in real estate or investment banking have seen their livelihoods sink, with little prospect for recovery. And hundreds of thousands more Americans have lost their jobs and with them, their ability to stay afloat financially. |
Well, you know what happens when financial catastrophe and water mix. You get a lot of blood in the water. And blood, along with survivors thrashing on the surface, attracts those who would benefit from misfortune—sharks.
In today’s environment, revenue-hungry attorneys or clients who are determined to recoup their investment losses can tear into and gut your business, chew up your net worth, and spit out your professional future. | Continued » |
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| Leveraging the Power of Social Networking |
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Your kids are on Facebook (and maybe some of your friends, too). Your favorite recording artists are on MySpace. Friends and family are sharing photos on Flickr. But are you on LinkedIn yet, the Big Kahuna of business social networking sites?
If not, now may be the time. According to tracking firm ComScore, LinkedIn has gone from about 3.6 million unique monthly visitors to some 8 million today. It has more than 36 million registered members, nearly 60% of whom have high personal incomes and hold executive or consulting positions.
How are financial advisors using LinkedIn? Many are using it to connect with their peers online to share tips and techniques. They also are using LinkedIn to network with referral sources in their area, with FMO personnel, and with their contacts at large financial services firms. | Continued » |
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Contact us: Phone: (800) 282-1831 | www.ethicscheck.com
Copyright © National Ethics Bureau Inc. 2009. All Rights Reserved.  |
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