A settlement the advisor signed with his former firm included a provision waiving the rights he had under the terms of his employment agreement
Court decision means a former spouse loses access to life insurance proceeds because of change to beneficiary in ex-spouse's policy
The couple claimed to have lost $1.2 million as a result of poor advice from a TD Waterhouse advisor more than a decade ago
Ellen Bessner and Dan Richards discuss how advisors should respond when they are audited by a regulator (Part 8 of 8)
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)
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)
A court rules that trustees and executors can be on the hook for losses if the estate's assets aren't managed prudently
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)
Ellen Bessner and Dan Richards explain three key common know-your-client pitfalls that can lead to lawsuits (Part 4 of 8)
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)