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Abstract: 

Every professional, no matter what the grounds or truth of the accusations, is faced with the prospect of being sued in a court of law for money damages. Frequently the damages sought are a huge amount of money far exceeding the insurance limits and cash assets of the advisor and corporations involved. This article is intended to explain some of the most basic legal actions that might be brought against a public financial advisor and some tips on what to do to protect yourself before a suit arrives, and how to have the best possible defense by taking action both before and after a lawsuit arrives.

Keywords: Professional negligence; innocent misrepresentations

Affiliations:  1: Rutledge, Manion, Rabaut, Terry and Thomas, P.C..