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  • FA Risk Management was originally founded in 1989 as Higher Plateau, the company has transformed its business model and brand over the years as the demands of the market and its members also transformed. The evolution of FA Risk Management has allowed us to explore new risk mitigation strategies and the ability to offer them to our members. As the company continues to grow through the expansion of its membership the risk mitigation strategies we provide continue to transform and evolve to the benefit of our members.

    We believe that our position in the industry and the risk mitigation strategies we provide are unique and in demand. Dedicated to the increased performance of our members and their business; we will continue to evolve and transform our business model to assist in protecting our members, as the responsibility of the investor is diminished through government regulation.

    It’s not about “who is right and who is wrong” anymore…

    it is about “can you afford to defend yourself and for how long?”

    1 out of every 25
    finance professionals will face the threat of litigation or arbitration at some point.

     Even the most meticulous financial planners, advisors and managers are at risk of losing everything due to litigation or arbitration. Every conversation you have with a client, every piece of advice you offer and every document you sign increases your risk geometrically.

    Standard E&O insurance doesn’t come close to providing the right help you need to prepare for, defend yourself and recover from a lawsuit ─ the average deductible is $50,000, a defense lawyer can run between $600 and $1000 per hour, and you can’t put a price on your reputation.

    But what if you could supplement or replace your E&O with a smart, comprehensive Risk Management with protection that covers EXACTLY what you’ll need to defend yourself from an attack?

    What are FA Risk Memberships?

    • eMitigationMemberships– From understanding your liability to organizing your documentation and building your defense, we’re with you every step of the way. Our discreet risk management experts who will guide you through the entire process and help you achieve optimal results.

    • Peace of mind – We can help you understand your risk before you get into trouble, take corrective actions to lessen exposure to future risk, and build a solid, affordable defense with confidence.

    • Financial support – E Mitigation PLUS helps you cover legal expenses directly related to litigation and arbitration.

    Why Do I Need a Membership?

    • To better manage your risks with costs approximating LESS THAN HALF of the average E&O deductible today.

    • For access to a dedicated, hands-on risk management consultantwho will provide a timely, realistic view of your liability and help you thoroughly prepare for your defense.  Shave hours off your preparation time by working effectively!

    • To secure a reputable, highly-experienced, securities litigator to help you negotiate the most favorable legal outcome for your unique situation.

    • To remain “in the know” with comprehensive risk management tools designed for individuals and small firms.

    Protecting yourself from litigious action is a time consuming and expensive activity. Thousands of hours a year are spent industry wide creating and implementing various best practice solutions, including and certainly not limited to: disclosure statements, disclaimers, rules, laws, regulations, policies, procedures, employee training and other such items.

    In all of these thousands of hours not one rule or regulation or policy has kept someone from suing you. It still comes down to as it always does, how much pain can you take? Can you afford to defend a lawsuit? Attorneys are charging as much as $600-$1000 an hour. The average preparatory time is nearly 12 hours if you are not organized. Do the math. You haven’t even gone to court yet or to mediation/arbitration. The average unprepared registered rep will spend 1000 hours of his own time dealing with and preparing for his eventual arbitration. What do you earn an hour? Have you looked? $100 an hour? $500 an hour? $1000 an hour?

    You are the only one who is able to calculate the potential impact this may have on your life.

    Based on this knowledge you can count on spending at least $12,000 on an attorney to prepare your defense and (if you are unprepared) maybe a $100,000 or more in time you could have been using to grow your business and continue your activities. Expenses in a lawsuit will always increase and you must be able to pay and pay quickly. Attorneys are calloused to the stories of “not enough money” and they do not wait for payment. They have plenty of clients who have similar problems and those clients have money to defend themselves. What would you do?

    Many of your colleagues have already joined our network and are enjoying the benefits of membership in FA RISK MANAGEMENT. Those members utilizing all the benefits of membership are enjoying the peace of mind knowing that they are prepared for any eventualities, and are fully engaged in their business and their clients.

    Membership Benefits

    Our three programs are:

    The eMitigation Membership for $195 per year;

    • Referral to experienced lawyers and/or law firms at a 20% discount off the regularly published hourly rates to assist the Member in obtaining knowledgeable and experienced representation.
    • The web-based e-Defense Manager which includes professional references, templates and more.
    • Over 50 FINRA produced e-learning courses.
    • Industry and regulatory updates

    Did you know the average cost of legal representation for arbitration has risen from $16,000 in 2001 to over $50,000 today?

    The eMitigationPLUS Membership for $975 per year;

    • 60 minutes of free legal consultaion each membership year.
    • In addition to the eMitigation Member benefits, the PLUS membership shall be entitled to a “Defense” to one “Claim” in a given “Membership Year” worth up to $35,000. “Defense” afforded the Member includes the following:
    • Legal representation by a lawyer and/or law firm knowledgeable and experienced in securities litigation and financial matters to defend against a “Claim”. The “Defense” shall be for any “Arbitration” or “Mediation” conducted by the Financial Industry Regulatory Authority (FINRA), or any other forum provided by a self-regulatory organization or the American Arbitration Association (AAA) initiated against a Member by either an “Individual Client and/or Customer” and/or an heir of an “Individual Client or Customer”.
    • Referral to experienced lawyers and/or law firms at a 20% discount off the regularly published hourly rates to assist the Member in obtaining knowledgeable and experienced representation.
    • Access to professional consultative services for your business at a reduced rate.
    • The web-based e-Defense Manager which includes professional references, templates and more.
    • The FA Risk Management updates
    • Industry and regulatory updates

    The E&O Deductable Benefit $495.00

    • Referral to experienced lawyers and/or law firms at a 20% discount off the regularly published hourly rates to assist the Member in obtaining knowledgeable and experienced representation.
    • Access to professional consultative services for your business at a reduced rate.
    • The web-based e-Defense Manager which includes professional references, templates and more.
    • The FA Risk Management updates
    • Industry and regulatory updates
    • Up to $5000.00 per year benefit in deductible coverage

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