Financial advisers who develop a few common sense, risk-avoidance techniques in their client communications may not only protect themselves from disruptive legal action but will improve their client relationships.
We invite you to listen to this podcast in which Fox partners Joshua Horn and Ernest E. Badway, co-chairs of the firm's Securities Industry practice group, discuss how brokerage firms can implement a set of best practices to follow in day-to-day interactions to minimize the risk of client complaints and disputes.
To listen to this podcast, please click here.
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