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Financial professionals meeting with clients

May 21, 2019 | Compliance
By Rocky Robbins

How to Deal with Client Complaints
It’s likely that you’ll have to deal with an upset client. If it's serious enough, they could decide to file a complaint with either the carrier or a state insurance department. So, what should you do when a complaint gets filed? Let's take a look.

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Two clients meeting with a financial professional

April 30, 2019 | Compliance
By Rocky Robbins

The Problem of Too Much Talk
It starts off like every other client meeting. You’re talking about a life insurance policy or annuity that might be a good fit for their retirement strategy. Then, they have questions about their IRAs and mutual funds. This is where the line is drawn between staying on the right side of regulations and stepping into trouble. What should you do?

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