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)
Stay on top of your clients’ circumstances by following up with them regularly to inquire about their personal situations
Ellen Bessner and Dan Richards discuss three common advisor shortcuts that can lead to lawsuits in the long term (Part 2 of 8)
The investors are suing 16 directors claiming negligence, breach of fiduciary and statutory duties, and that the directors’ actions were oppressive
Investment manager is not able to collect bonuses after dismissal because contract stated he must be “actively employed” with the firm for a four-year period
The two class action lawsuits alleged that Manulife misrepresented the adequacy of its risk-management practices and failed to meet its disclosure obligations
Ellen Bessner and Dan Richards discuss how to screen out problem prospects before they become clients (Part 1 of 8)
Ask key questions to prospects to screen for good clients
Robert Shewchuk claimed in a lawsuit that Blackmont Capital did not properly pay him for corporate finance deals he brought to the firm