|As of September 1, 2008,Vincent DiCarlo
is no longer engaged in the private practice of law.
and is provided for historical purposes. See disclaimer below.
How Not to Get Sued
by an Investor
These are videotapes of two presentations of my class for registered representatives, investment advisors, and financial planners on how to avoid being sued by one of their clients. The first was given to a group of registered investment advisors, and is appropriate for RIAs, registered representatives at full service broker-dealers, and financial planners, and emphasizes practical methods of documentation for professionals who don't record their telephone calls. The other was given to a group of registered representatives at a discount brokerage firm that does record its telephone calls. They are about one and a half to two hours long, and are available for sale for $150 each or $200 for both. If you wish to order, click the appropriate link below to send me email, call the telephone number above, or send your order with a check to me at the above address.
Video session for discount brokers
DISCLAIMER: I have entered
government service and, as of September 1, 2008, am no longer engaged
in the private practice of law. Therefore, this site is no longer
being maintained, may not be accurate, and should not be relied
upon. It is not now and was not ever intended as legal
advice. It is being provided for historical purposes, and for the
benefit of those lawyers who are capable of independently verifying the
information and judging the opinions in it, and then reaching their own
conclusions. You are strongly advised to consult qualified legal
before adopting any of the ideas or suggestions in this material, which
may or may not be applicable in your jurisdiction or to your specific
situation, and may no longer be accurate or prudent in any case.
The opinions and statements at this site were solely my own. They
were not and are not those of, nor were they nor are they made on
behalf of, any agency of government or anyone else.
Copyright © 1998-2008 Vincent DiCarlo