The financial services industry is under intense scrutiny from lawmakers, regulators and disgruntled investors. Broker-Dealers, and their registered representatives, are increasingly targets for those seeking redress for a financial loss. Moreover, the patchwork of regulations and statutes that has evolved over the years can lead to confusion by investment professionals and opportunities for plaintiff’s attorneys well versed in the field. Even in a well controlled environment, risk is present in each transaction. Having the right coverage in place for your organization and its professionals is critical. 

Lemme can help. Our team has dedicated professionals with years of experience building the right solutions for Broker-Dealers and others who are a part of the securities and investment advisory industry. We dig deep to understand the unique nature of the practice, and work to customize a policy solution that addresses the risk management needs of the organization and its professionals. 

Contact John Hecht or David Koenen for more information.