How not to get sued

In this eight-part video series, Ellen Bessner, partner, Babin Bessner Spry LLP, speaks with host Dan Richards about the most common reasons advisors get sued and how to steer clear of lawsuit risks. Photo copyright: halfpoint/123RF.

March 20, 2017

Three things advisors need to know to survive an audit

Ellen Bessner and Dan Richards discuss how advisors should respond when they are audited by a regulator (Part 8 of 8)

  • March 20, 2017 August 14, 2018
  • 06:00

How to handle client complaints

Ellen Bessner and Dan Richards discuss the steps you need to take right away if a client makes a complaint that may involve a lawsuit (Part 7 of 8)

  • March 12, 2017 August 14, 2018
  • 10:00

Regulatory changes that endanger your licences

Ellen Bessner and Dan Richards explain that an issue with one regulator is increasingly requiring advisors to respond to several regulatory bodies (Part 6 of 8)

  • March 3, 2017 August 14, 2018
  • 16:00

Three risk tolerance traps

Ellen Bessner and Dan Richards explain three common approaches to managing clients' risk tolerance that leave advisors open to litigation risk (Part 5 of 8)

  • February 27, 2017 August 14, 2018
  • 06:30

Three KYC traps

Ellen Bessner and Dan Richards explain three key common know-your-client pitfalls that can lead to lawsuits (Part 4 of 8)

  • February 21, 2017 August 14, 2018
  • 06:30

Prepare for the next mystery shop

Ellen Bessner and Dan Richards discuss the key takeaways from the OSC's 2015 mystery shop exercise and give tips on handling regulators' upcoming mystery shops (Part 3 of 4)

  • February 14, 2017 August 14, 2018
  • 06:00

Three shortcuts that can cause legal trouble

Ellen Bessner and Dan Richards discuss three common advisor shortcuts that can lead to lawsuits in the long term (Part 2 of 8)

  • February 6, 2017 August 14, 2018
  • 15:10

The risk of accepting dangerous prospects

Ellen Bessner and Dan Richards discuss how to screen out problem prospects before they become clients (Part 1 of 8)

  • January 30, 2017 August 14, 2018
  • 06:30