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Broker-dealers and their registered representatives can often find themselves facing claims of negligence, misrepresentation, unsuitability, or failure to supervise. This policy offers protection for claims alleging errors or omissions in rendering or failing to render professional services to your customers.
Coverage Highlights
Benefits
Designed specifically to offer protection to broker-dealers and their registered representatives
Broad, easy to use form
No audit provision for representatives added during the policy period
Cost of corrections provision built into the form
Supervisory coverage extended for acts of past representatives
Coverage for the sale of certain alternative products
Industry leading claims handling
Limits
Policy is structured with a per claim limit and a policy aggregate limit
Limits vary by risk but the typical policy aggregate cap is $10 million
Target Clients
FINRA registered broker-dealers and their registered representatives