ETHICS CENTER
Sponsored by the National Ethics Association

December 16, 2014
Obscenity rules: Time to rescue office civility?
Not only is obscene speech increasingly common in professional sports, it’s also becoming common in the workplace. But financial advisors should take a stand against it. By committing themselves to respectful discourse, they will become a magnet for prospects and colleagues who admire professionalism not only in knowledge, but also in conduct.

November 10, 2014
Yelp help, Pt. 3: Proceed with caution
In the last two columns, I talked about the growing trend of consumers rating financial advisors. In this column, I’d like to discuss the possibility that engaging with Yelp might become stressful — and may even damage your reputation (if you let it).

October 27, 2014
Yelp help, Pt. 2: How to get started
Here are pointers to make your Yelp entry howl-free

October 2, 2014
Yelp help Pt. 1: When consumers roar, you better listen
Although Internet reviews have long been a fixture for book sales (Amazon), restaurants (Yelp) and personal services (Angie’s List), they’ve only recently begun to appear regarding financial products and advisors. But we believe this trend will explode soon for the following reasons.

August 28, 2014
Retirement seminars: summit path or slippery slope? Pt. 3
Your seminar will never succeed, the thinking goes, unless you can fill seats. But you won’t draw attendees if they think they’re in for a hard sales pitch. So you pose as an academic instructor instead. However, this is illogical because many seminars succeed without deception. And the way they succeed is by being ethical, compliant, and content-driven in your seminars. So let’s take a quick look at each of these elements.

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