Coverage Specifics for Broker/Dealer E&O:

Broker/Dealers face a unique set of exposures. Investor suits, potential advisor fraud/negligence, and FINRA scrutiny are just a few of the many potential risk areas where an agent can offer guidance

Broker/Dealer E&O: Not All Created Equal

Mismanaged E&O claims can be mutually devastating, both to the Broker/Dealer and Registered Rep alike. Because of these high stakes, Broker/Dealer E&O policies must be chosen and managed carefully to select the right terms, conditions, and limits for all parties. Potential policies vary widely by retention, coverage limits, exclusions, and scope of coverage. Seemingly insignificant differences can produce highly significant results in the long term.

At Swingle Collins, we know that a complex nuance in E&O insurance policy terms can be the difference between seven figure loss settlements. We take these details seriously and choose policies for our clients that minimize risk and exposure.

Why choose Swingle Collins & Associates for Broker/Dealer E&O Insurance?

Navigating the complexity of Broker/Dealer E&O insurance does not end when insurance is placed, it begins. At Swingle Collins, we know that selecting a policy is just as important as managing it. From claims advocacy, to discerning coverage limits, to periodic contract review, we are committed to an ongoing relationship that vigilantly minimizes your professional liability.

Swingle, Collins & Associates specializes in Broker/Dealer Errors & Omissions Insurance coverage. The descriptions of coverages listed on this website are brief and subject to the provisions, limitations, and exclusions that can only be expressed in your policy and related endorsements. For additional information of how Swingle, Collins & Associates can assist in meeting your coverage needs for Broker/Dealer Errors & Omissions Insurance please contact your dedicated risk manager to discuss the benefits and services of Broker/Dealer Errors & Omissions Insurance coverage. The information contained on this page is provided for informational and educational purposes only. It contains general information on insurance issues and may not reflect the most current developments in insurance coverage and is unlikely to apply in all factual scenarios. The information does not include all the terms, coverages, exclusions, limitations or conditions that may be contained in the actual insurance contract language. The policies themselves must be read for those details. Sample policy forms will be made available upon reasonable request.