The number of securities class actions

filed last year rose by 12% to 174

The average settlement value...

$30.1 million


Mission Statement:

We promise to stand with our members in their darkest hour. We give our members access to information and tools to increase performance in their chosen profession. We promise to effectively deliver to our members risk mitigation strategies, counsel, advice, and open judgment-free conversations, which will positively impact their business, their clients, and their family.




What we Offer:

The most important aspect of risk mitigation strategies and preserving your reputation is litigation avoidance. When you are faced with client arbitration, or litigation we have professional resources to get you through what can be a miserable experience if not handled effectively.

FA RISK is in the business of empowering our members, with risk mitigation strategies,  to their greatest potential and managing the risk to their lifestyle. Our members enjoy and experience peace of mind derived from the knowledge that if a claim from their client is made against them, the risk mitigation strategies learned from the education they got from FA Risk Management will support them. We stand with our members during their darkest hour. When that claim is made (and it will be someday) FA RISK will be there with risk mitigation strategies, expert consultation, access to superior legal services, and money.

We share the pain, legal pressure and expense with our members.

Legal fees can quickly add up and destroy lives, businesses, and families. Without the proper risk mitigation strategies, expenses in the event of litigious action can add up quickly, however they can be mitigated. Most clients, when they sue, it is usually because they have received bad information from an uninformed attorney or they are angry because the market did not go the way they hoped and are looking for someone to blame so they do not have to be responsible for the investment decisions they made. Employing the appropriate risk mitigation strategies will reduce the risk of "reasons" why clients sue.

Whether or not most registered reps or financial planners will admit or acknowledge it, every time a new deal is placed in front of a client the thoughts and fears of; “Did I do everything I am supposed to do?” “Did the vendor do the proper due diligence?” “Did my firm explore this enough?” “Did I do the right thing?” “Will this person sue me if things go wrong?” “Does this guy really know what I am talking about?” “Did they really review and consult with an attorney or their accountant about this deal?” "Did I employ the appropriate amount risk mitigation strategies that will protect me?" And many more questions race through your mind and can effectively inhibit your performance.

This “background noise” is devastating to your business.  

FA Risk knows what the experience of that background noise is like. It is our position and our stand that you free yourself from that background noise and increase your performance. If you could increase your business by 10% 15% or 20% would that make a difference to you, your family, or your business? How much time do you spend in that background noise, thinking of clients and whether they understand something or not? How much time do you spend looking for a document you should have immediate access to, calling into your compliance officer for an answer and then get their voicemail? How long does it take to get information? We believe that by giving you access to tools, education, ideas, risk mitigation strategies and techniques you will be able to streamline your business and enhance the relationship with your clients.


Becoming a member means working diligently to not only build a strong business, but also to protect it. You’ve worked hard to attain success, but litigation can destroy that hard work and cause needless setbacks, and in some cases, complete destruction.

Your membership includes a proactive approach to protect your business and comprehensive proven tips to help you prevail in the event of litigation.






Recently Updated
1st Quarter 2011 FARiskMgmt Newsletter Last Updated on 2011-01-27 00:00:00 I don’t think there is a single person who believes the FINRA arbitration process is fair, because the system is broken. When first developed as a forum to provide investors a place to have their grievances heard in a timely and low cost format, the creators forgot to take into consideration the abuse of the system by the plaintiff’s bar. Although the system makes sense for investors to use when their broker has actually done something wrong or illegal, it has mutated into a system that seeks to repay investors where they have lost money in an investment (no matter the cause). This is not the fault of FINRA, but ultimately they have to be the one that fixes the system. Also in this Issue: Eyes Wide Open SANBAG & Ryder Going Green Click link below to read full newsletter in PDF format... More »