About Us

FARisk Mgmt. provides education, training, and litigation defense tools to the independent broker dealer and RIA community.

Our origins date back to 1989 as Higher Plateau, a continuing education company. We shifted our focus to litigation prevention exclusively for Financial Professionals and were 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.

We are constantly amazed to learn that the majority of financial professionals don't know what their Errors & Ommissions policies cover or what their deductables are. Do you know what's in your policy?

FARisk Mgmt. has returned to our roots while remaining true to our mission. We will continue to grow our suite of training materials and programs with an eye to improving your prevention from litigation.