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GOINGINDIE BLOG

If a Customer Arbitration Goes Badly, Advisors and Firms Must Work Together to Salvage the Situation

~April 28th, 2013

By Scott C Matasar In FINRA arbitrations brought by disgruntled customers, Claimants routinely sue both the rep and the firm.  If the arbitration Panel issues a severe Award against you that makes no sense, your only recourse may be to bring a civil lawsuit demanding the Award be vacated pursuant to the Federal Arbitration Act. […]

New Year, New RIA

~February 10th, 2013

By Tiffany Chamberlain, CIDA More advisors than ever are “breaking away” from their current arrangement and starting their own RIA.  The trend in starting your own RIA is not limited to licensed advisors of broker dealers and corporate RIAs.  An increasing number of CPAs and insurance agents are obtaining their Series 65 and also starting […]

U.S. Supreme Court Reaffirms Arbitrators are Empowered to Determine Enforceability of Non-Compete Provisions

~December 2nd, 2012

by Scott C Matasar Nearly all registered representatives’ contracts with their broker/dealers require them to resolve disputes in arbitration—which are mandatorily arbitrable under FINRA Rules in any event.  And, many reps’ contracts also contain non-competition provisions of varying forms.  On November 26th, the U.S. Supreme Court issued a decision reaffirming that the arbitrators assigned to […]

Avoid the 5 Most Common Blunders of CRM Shopping

~September 25th, 2012

By David Ferguson Which best describes you: 1.  Shopper 2.  Buyer Shoppers will spend whatever time is necessary to feel confident they have made the right choice on the particular item, and that they are paying a fair price.  Buyers jump on the first thing that is acceptable at whatever price is listed. If you […]

Compliance Q & A for Registered Investment Advisors

~July 29th, 2012

by Tiffany L. Chamberlain, CIDA In today’s rapidly changing regulatory environment, compliance can be both confusing and overwhelming, but is a required necessity.  We are addressing the most commonly asked compliance-related questions to assist advisors that may be thinking of going independent. Q:  What is the difference between a Registered Investment Advisor (“RIA”) and an […]

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