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Keyword: Advisors and the law

23 results found
angry client meeting

Red flags to guard against in your practice were outlined at an IFB event

metal scales of justice in court room

Advisors who leave the industry to avoid investigations and hearings suffer more severe penalties

give advice

Sometimes your best approach is to refer your client to a lawyer or other professional

client meeting

Don’t fall for clients’ demands for unsuitable investments

Court.

Court finds no breach when advisor didn't "sell in May and go away"

man working on laptop

Understand how a settlement can unexpectedly affect you

online comments

Online chatter about a public company was defamatory, an Ontario court has ruled

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

The firm is alleged to have wrongfully dismissed two former advisors who were promoted to regional director roles

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

A B.C. court has ruled that a firm was justified in terminating the rep after he forged a client's signature

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

Litigation risk exists even after you’re retired or unable to work