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Broker Dealer E&O

Specialized insurance programs designed to mitigate risk and liberate capital for Independent and Managing Broker-Dealers, Investment Banking Firms, Family Offices and Private Equity Firms. We take great pride in providing innovative, specific solutions to a wide variety of financial service firms and professionals with complex and delicate, specialized insurance needs.

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Registered Investment Advisor E&O

We help an array of financial service firms and professionals broaden coverage and lower premiums. Tailored coverage protection to expand to complex exposures including Alternative Investments, Cryptocurrency & Bitcoin and Trustee services. Put our specialized team to work for you.

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Bonds

Fidelity, ERISA and Surety Bonds are added layers of protection for your firm. Protect your firm from loss caused by a dishonest employee, protect your employee pension and health plans, or financially guarantee the terms established by two parties.

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Employment Practices Liability Insurance

Every employer faces the reality that it may be the target of legal action from past, present and prospective employees. Protect your firm from claims arising from employees who are terminated for cause and then sue you for discrimination, wrongful termination, loss of earnings, sexual harassment, slander, defamation and more.

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Specialty Group Solutions

INTERWEB’S SPECIALTY GROUP

The Financial Service sector is one of InterWeb’s core specialty practices. InterWeb’s Specialty Group exists to serve clients through Risk Management, Insurance Brokerage and Claims Advocacy. We believe Insurance should not be a buyer-beware proposition, and our customers expect us to obtain an insurance product that strikes the best balance of optimum coverage and competitive rates. Supported by sophisticated technology and risk management tools, our clients experience best-in-class service provided by every member of the team.

INTEGRITY, VISION & EXPERIENCE

Our seamless approach and visionary leadership are a perfect fit for your business. Led by seasoned professionals with decades of experience delivers a broad range of customized solutions focused on optimizing program design and coverage while maximizing cost efficiencies. Our expertise in this specialized area comes with our industry-recognized reputation for exceptional customer service.

OUR APPROACH

Our team works closely with every client to build a specialized insurance program designed to mitigate risk and liberate capital. We take great pride in providing innovative, specific solutions to a wide variety of financial service firms and professionals with complex and delicate specialized insurance needs.

We are your advocates with the insurance companies. Our strong market connections are based on long term relationships. As a result, underwriters consistently demonstrate their willingness to help us structure exceptional programs and obtain favorable claims resolutions.

OUR CLIENTS

The Financial Service sector is one of InterWeb’s core specialty practices. We understand the unique challenges that face this industry and we know the marketplace intimately.  Our team of brokers assess risk and secure competitive insurance programs for the following:

  • Broker-Dealers
  • Investment Advisors (individual IAR’s and RIA firms)
  • Insurance Company Agent Programs
  • Insurance Agents
  • Insurance Marketing Organization (IMO) Programs
  • Associations

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Broker Dealer E&O

The Financial Services sector is one of InterWeb’s core specialty practices. This industry faces unique challenges that require a team of experienced professionals equipped to assist our clients with complex risk management issues they face. Our expertise in this specialized area comes with our industry-recognized reputation for depth of knowledge and exceedingly high customer service.

Our team works closely with every client to build a specialized insurance program designed to mitigate risk and liberate capital. We take great pride in providing innovative, specific solutions to a wide variety of financial service firms and professionals with complex and delicate specialized insurance needs.

We are equipped to tailor solutions for Broker-Dealers of all shapes and sizes.

  • Independent Broker-Dealers
  • Managing Broker-Dealers
  • Investment Banking Firms
  • M & A Firms
  • Family Offices
  • Private Equity Firms

We tailor coverage protection to expand to complex exposures including:

  • Alternative Investments (Reg D, BDCs, 1031 Exchanges, etc.)
  • Cryptocurrency & Bitcoin
  • Trustee services

Clients are drawn to our refreshingly personal, intensely analytical and consistently thorough approach to managing risk. We understand the unique challenges that face this industry and we know the marketplace intimately.

Put our specialized team to work for you.

Contact Us (866) 277-1762

We help an array of financial service firms and professionals broaden coverage and lower premiums. Put our specialized team to work for you.

CALL: (866) 277-7162

Download InterWeb BD E&O Application

Download InterWeb BD-RIA Quick Quote

Broker-Dealers, Seasoned Registered Investment Advisors and Insurance Agencies firms and their advisors Investaguard

Registered Investment Advisor E&O Solutions

The Financial Services sector is one of InterWeb’s core specialty practices. This industry faces unique challenges that require a team of experienced professionals equipped to assist our clients with complex risk management issues they face. Our expertise in this specialized area comes with our industry-recognized reputation for depth of knowledge and exceedingly high customer service.

Our team works closely with every client to build a specialized insurance program designed to mitigate risk and liberate capital. We take great pride in providing innovative, specific solutions to a wide variety of financial service firms and professionals with complex and delicate specialized insurance needs.

We are equipped to tailor solutions for Broker-Dealers of all shapes and sizes.

  • Independent Broker-Dealers
  • Managing Broker-Dealers
  • Investment Banking Firms
  • M & A Firms
  • Family Offices
  • Private Equity Firms

We tailor coverage protection to expand to complex exposures including:

  • Alternative Investments (Reg D, BDCs, 1031 Exchanges, etc.)
  • Cryptocurrency & Bitcoin
  • Trustee services

Clients are drawn to our refreshingly personal, intensely analytical and consistently thorough approach to managing risk. We understand the unique challenges that face this industry and we know the marketplace intimately.

Put our specialized team to work for you.

Contact Us (866) 277-1762

We help an array of financial service firms and professionals broaden coverage and lower premiums. Put our specialized team to work for you.

CALL: (866) 277-7162

Download InterWeb BD E&O Application

Download InterWeb BD-RIA Quick Quote

Broker-Dealers, Seasoned Registered Investment Advisors and Insurance Agencies firms and their advisors Investaguard

Bonds

Fidelity Bond

A fidelity bond is a form of insurance protection that covers policyholders for losses that they incur as a result of fraudulent acts by specified individuals. It usually insures a business for losses caused by the dishonest acts of its employees. These insurance policies protect from losses of company monies, securities, and other property from employees who have a intent to cause the company loss.

ERISA Bond

ERISA is the Employee Retirement Income Security Act, a federal law enacted in 1974. ERISA established minimum standards for plan administrators and investment advisers to protect employee pension and health plans in the private sector. ERISA requires that plan officials who manage, oversee, recommend or handle funds or other property of an employee benefit plan must be covered by a personal fidelity bond, according to the U.S. Department of Labor. The bond purpose is if a plan official commits fraudulent or dishonest acts, his bond ensures that the pension or health fund can recover some of its losses. The bond only pays if the fraudulent administrator is financially unable to meet his obligations.

Surety Bond

A surety bond is a contract between three parties—the principal (you), the surety (them) and the obligee (the entity requiring the bond)—in which the surety financially guarantees to an obligee that the principal will act in accordance with the terms established by the bond.

Employment Practices Liability Insurance

Employment Practices Liability Insurance

Protects your firm from claims arising from employees who are terminated for cause and then sue you for discrimination, wrongful termination, loss of earnings, sexual harassment, slander, defamation etc.  Companies are finding that they are vulnerable from the pre-hiring process through the exit interview, even if the employee was never hired, or only at the company a matter of days. It can happen to ANY firm. Every employer faces the reality that it may be the target of legal action from past, present and prospective employees. Even if the claim is groundless or fraudulent, the defense of a suit can be expensive in time, resources and financially. It’s still your firm that gets sued, and you can’t always monitor every hire, termination, or conversation that takes place in your office.

This material is for informational purposes only and not for the purpose of providing legal or insurance advice.  Insurance coverage and the terms and conditions relating to such coverage will vary.  No representations or promises are made that any particular insurance coverage will be available to any individual or entity seeking such coverage.  Interweb insurance is not a law firm and does not provide legal advice.  If such advice is needed, consult with a qualified advisor.

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Program Division

Tailored group programs with Click-Quote-Bind ease.....
Professional Liability Insurance for Agents, Advisors, Reg Reps, Agencies and RIA Firms with Revenue less than $500K and AUM less than $250M. Broad Coverage. Rates as low as $875 for IARs and $1,100 for RIAs. Built for financial professionals on the move!

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Commercial Division

Insurance written with the business owner in mind….
Servicing All Industries and Professionals Tailored for Small or Large Businesses Commercial Auto, Business Interruption, Equipment Breakdown, General Liability, Workers Compensation, Business Owner Packages Serving the entire USA Industry experts personally handling your business insurance

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Cyber Division

Cutting edge Cyber Liability solutions, not just insurance….
Protecting all professionals from the ever present risk of cyber-attacks. Convenient Breach Response Web Portal and Instant Response Services Personalized assistance mitigating further loss or exposure Guidance determining and notifying all individuals affected. Rates as low as $175 Full Prior Acts Broad Coverages and services Security and Privacy Liability, Technology Services, Intellectual Property, Network Interruption, Reputable Damage, Regulatory Defense and Penalties, Network Extortion and MORE

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