10 ways to protect your business from Internet vigilantes
Facebook teems with people angry about their bad restaurant meals or a fellow citizen’s sloppy driving. Before the advent of social media, they may have ... Read more
Harry J. Lew
Securities Suitability: What brokers need to know to stay out of trouble
Suitability remains an issue of concern for financial services regulators. Even though regulatory bodies have promulgated tighter regimens for assuring suitable sales, especially to seniors, ... Read more
6 ethical lessons from America’s worst financial advisors
Financial rogues continue to plague the elderly, the financially naïve, and the gullible. What else is new? But ThinkAdvisor’s latest survey of America’s worst advisors ... Read more
Insurance Suitability: It’s back-to-basics time!
Suitability is a perennial issue in financial services. It’s based on a presumably elementary and unobjectionable concept: that advisors shouldn’t sell a product to anyone ... Read more
The Science of Temptation: 3 research-based techniques for resisting unethical conduct
The financial services trade press is full of stories about life and health insurance agents and investment advisors who failed to say no. Case in ... Read more
At war with your customers? Four attitude shifts to make now!
Life and health and property-casualty insurance agents (and investment advisors) arguably are in business to serve their customers. Despite this universal truth, too many view ... Read more
10 ways to close the client expectations gap
The great physicist Stephen Hawking once said, “When one’s expectations are reduced to zero, one really appreciates everything one does have.” I wish more people ... Read more
Avoiding a reputation mud bath: Why your ethical values should trump expert advice
Financial professionals and agencies operate in a complex environment. That’s why they often hire expert advisors to help them make good decisions. For example, they ... Read more
Advertising compliance guidelines: 25 ways to avoid nasty outcomes
I’ve often said the vast majority of financial advisors are ethical and would no sooner rip off Grandma or Grandpa than lop off their own ... Read more
Personal finance journalism: Meeting the challenge of “expert” bias
How many times have you read a personal finance article in a major magazine or newspaper and tossed it on the table in disappointment. Or ... Read more
