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  • More
    • Geller Law
    • Contact
    • About Us
    • What Went Wrong?
    • My Blog
    • Speeches and Media
    • Investing Terms 101
      • Know Your Client Duty
      • Know Your Product Duty
      • Duty To Warn of Risks
      • Conflicts of Interests
      • Beware Margin Investing
      • Advisor's Duty to Update
      • Legal Principles
      • Trustee’s Duties
    • What clients say
    • Self-help Resources
  • Geller Law
  • Contact
  • About Us
  • What Went Wrong?
  • My Blog
  • Speeches and Media
  • Investing Terms 101
    • Know Your Client Duty
    • Know Your Product Duty
    • Duty To Warn of Risks
    • Conflicts of Interests
    • Beware Margin Investing
    • Advisor's Duty to Update
    • Legal Principles
    • Trustee’s Duties
  • What clients say
  • Self-help Resources

Geller Law*

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DON'T PANIC.RECOVERY MAY BE POSSIBLE. Over 1500 investors served.

DON'T PANIC.RECOVERY MAY BE POSSIBLE. Over 1500 investors served.DON'T PANIC.RECOVERY MAY BE POSSIBLE. Over 1500 investors served.DON'T PANIC.RECOVERY MAY BE POSSIBLE. Over 1500 investors served.

Self-help Resources of Investors & Insureds

Understanding Financial Certifications

The regulator of mutual fund and stock brokers has a useful tool for checking on what the array of certifications and titles mean.  Don't be fooled by a line of letters behind someone's name or a fancy  sounding title.  The key is not the getting a certification, but in adhere to the standards and practices required to earn and use those 

The regulator of mutual fund and stock brokers has a useful tool for checking on what the array of certifications and titles mean.  Don't be fooled by a line of letters behind someone's name or a fancy  sounding title.  The key is not the getting a certification, but in adhere to the standards and practices required to earn and use those letters and titles when advising you!  See: https://www.iiroc.ca/investors/learning-basics-and-protecting-your-investments/understanding-financial-certifications

Self-help Resources of Investors & Insureds

How to Make a Complaint - Mutual fund and stock salespeople

Investors and insureds should not expect meaningful action by bringing concerns about potential negligence or wrongdoings by an advisor to the attention of the dealer or insurer.  Complaint handling is used by the industry to divert complaints, not to investigate and respond "fairly, honestly and in good faith."  Insurers and dealers will

Investors and insureds should not expect meaningful action by bringing concerns about potential negligence or wrongdoings by an advisor to the attention of the dealer or insurer.  Complaint handling is used by the industry to divert complaints, not to investigate and respond "fairly, honestly and in good faith."  Insurers and dealers will blithely ignore their duty to act in your best interest.  They will delay to run out the limitations period (simply 2 years, but the devil is in the details).  They may offer cents on the dollar as if this was a fair or meaningful response. Consider as the first step, filing complaints to the responsible regulator.  For mutual funds and stocks, here is a link to "How to Make a Complaint" https://www.iiroc.ca/investors/how-make-complaint

For Ontario life insurance here is a link to the complaint form: https://www.fsrao.ca/complaint-form-0 


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*In Association with H. Geller PC, ** with regret, the exception is Quebec,

***pay-when-get-paid fees are subject to your case's merit 

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