Calmly Navigate Client Complaints
Your broker client has filed a complaint. What now? In this podcast, Fox partners Joshua Horn and Ernest E. Badway, co-chairs of the firm’s Securities Industry practice group, share best practices and dos and don’ts for successfully managing client complaints and lawsuits to help reduce risk and minimize any regulatory action.
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. In this podcast, Fox partners Ernest E. Badway and Joshua Horn, 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.
The ABCs of Aging Brokerage Clients
Working with elderly clients in the managing of their finances can be a balancing act, requiring brokers to walk a tightrope in terms of maintaining mutual confidence in the handling of accounts and guaranteeing compliance with state and federal regulatory bodies. Often the dominant concerns among broker dealers are the mental and physical well-being of older clients as well as how to react to financial decisions that are made contrary to expert advice and when to freeze accounts. In this podcast, Fox partners Ernest E. Badway and Joshua Horn, co-chairs of the firm’s Securities Industry practice group, discuss how best to approach the difficult ethical situations that become more common as clients age.
Brokers Beware: Negligent Practices Are Met With Negative Results
In this podcast, Joshua Horn and Ernest E. Badway, co-chairs of the firm’s Securities Industry practice group, detail particularly pernicious practices for brokerage firms within the financial services industry.