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Praise for

Protecting Your Practice

by Katherine Vessenes

in cooperation with the IAFP

“Katherine Vessenes is almost unique in the compliance community with her focus on client relationships and building a practice.”

BOB VERES

Publisher

Inside Information

“A tremendous resource for the serious financial professional.. A valuable tool for establishing preventive measures to help avoid customer complaints and litigation.”

DENNIS KAMINSKI

Senior Vice President and CAO

Mutual Service Corporation

“A great book to help professionals properly position themselves in the marketplace.”

JOHN MCGOVERN

Formerly Compliance Director

Nathan & Lewis Securities

“Must-reading for every financial professional who wants to stay in business.”

ALEXANDRA ARMSTRONG, CFP

Former Chairman

Armstrong, Welch & MacIntyre, Inc.

“Katherine Vessenes has traveled these roads as a planner and a lawyer. Follow the map and you won’t get lost.”

VICTOR J. PRYLES

Former Senior Vice President

Investors Financial Group

“There are two types of financial planners: those who read this book and those who are committed to learning the hard and painful way.”

MYRA SALZER

The Wealth Conservancy, Inc.

“Well-organized and practical.”

JAN WALSH

Washington State Librarian

“This book is a practical guide to a subject of paramount importance to registered reps, broker-dealers and managers. Katherine Vessenes has clearly communicated technical compliance information in a format that is easy to apply to your practice. We have ordered a copy for each of our registered reps.”

LAWRENCE J. RYBKA, JD, CFP

President

ValMark Securities

“The definitive guide on the subject.”

STEWART H. WELCH, III, CFP,

CHFC, AEP

The Welch Group

“Katherine Vessenes underscores the most important element of successful financial planning: When you keep your clients happy, you keep your clients. Whether you’ve been a financial planner for years or are new to the profession, you’ll find Protecting Your Practice an essential addition to your professional library.”

THOMAS W. JOHNSON

Former Executive Editor

Financial Planning

“A voice of authority and knowledge that comes from years of dealing with these issues.”

ROBERT CLARK

Editor in Chief

Investment Advisor

“Katherine Vessenes.. is ahead of the pack in providing clear and concise text, real-life situations, and action items that can be incorporated into the successful planner’s practice… A must-read for serious financial professionals.”

JEFFREY H. RATTINER, CPA, CFP

President and CEO

JR Financial Group, Inc.

“Protecting Your Practice is a continuation of Katherine Vessenes’s valuable contribution to the financial planning profession. We don’t like to think about it but we must take appropriate steps to ensure the continuation of our practice for our own protection and that of our existing clients. This book tells us how to do it.”

LINDA S. LUBITZ, CFP

Managing Director, East Bay

Mosaic Financial Partners, Inc.

“Its no-nonsense approach.. provides practical solutions for avoiding the various legal and regulatory pitfalls of the financial services industry.”

RICK YOUNG

Former Director of Compliance

FSC Securities Corporation

“An excellent resource for compliance officers, financial planning practitioners, and investment advisers. Katherine Vessenes’s suggestions show how compliance can and should become an integral part of your day-to-day activities – without causing ‘sales prevention.’”

NANCY JOHNSON JONES, CFP

President and Founder

Strategic Compliance Concepts

… and praise for her previous book,

The Compliance and Liability Handbook for

Financial Planners and

Financial Service Professionals

by Katherine Vessenes

in cooperation with the IAFP

“We require all our representatives to read Katherine’s practical and insightful book. Our group works with high-producing independent agents who need to know specifically what they must do to protect their business. Her marketing ideas on how to grow your business are invaluable. Combined with her legal viewpoint on how to avoid litigation, every detail is worthwhile.”

LAWRENCE J. RYBKA, JD, CFP

CEO and President

ValMark Securities