We emphasize litigation avoidance—the most important aspect of preserving your reputation. And even if you are faced with a client arbitration, we have professional resources to help you. Think of us more like a Health Club than a Country Club.

To provide increased proficiency through education, information, expert contacts, and referrals through our network.
 

• Resource Library
  
• Increased education and awareness
  
• Improved documentation and practices
  
• Spreading the cost of litigation
  
• Reference to proven industry attorneys
  
• Improved arbitration outcomes
• Industry Referrals

Originally founded in 1989 as Higher Plateau, a continuing education company, it ultimately shifted its focus to litigation prevention exclusively for Financial Professionals and was renamed Financial Advisors Legal Association (FA Legal). There were so many gaps in Errors and Ommissions Insurance that there had to be a better way to preserve the industry from the staggering rise in legal claims. So in 1999, FA Legal developed resources to provide legal referral services and defense to individuals and firms with a single motto— always place litigation prevention first. Our goal is not only to prepare but to provide resources that will actually increase the potential of prevailing in a claim. Does your E&O effectively cover you?

Our members enjoy exclusive benefits that are unparalleled in the industry. These extensive benefits have allowed our members to build a successful business apart from the fear of litigation. Our members then joined together to address these destructive trends with proven tools. We’re pleased to offer this one-of-a-kind assocation and invite you to be among the industry leaders now as FA Risk Management.

Affordable:
   eMitigation................. $295 yearly
   eMitigationPLUS........... $975 yearly

(Automatic payment plans available monthly & quarterly)

Proactive:

• Best practices through our eDefense Manager
• Up to 14 hours of Continuing Education Credits
  
• Over 50 FINRA produced e-learing courses
• Important Industry updates
  

Comprehensive:

• Industry resourses 
• Newsletters
  
• Document templates
  
• Top tier attorneys and more

Portable:
Your membership stays with you wherever you go. You can maintain your membership regardless of your affiliation with a broker dealer or investment advisory.

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 a litigation.