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  • Who We Serve

    • Registered Investment Advisors
    • Private Equity/Hedge Funds
    • Pension Consultants
    • Trust Companies
    • Broker Dealers
    • Mutual Funds
    • Multi-family Offices
    • Municipal Advisors
    • Certified Public Accountants
    • Private Client
  • What We Offer

    • RIASURE
      • What is RIASURE?
      • Our RIASURE Process
    • Insurance Products

      • Investment Management Errors & Omissions Liability Insurance
      • Cyber Security Liability Insurance
      • Other Insurance Products
    • Our Specialists

      • Meet the specialists behind our RIASURE process
      • Have a question?
  • Why GS?
    • The Story
    • What is RIASURE?
    • How to evaluate your RIA E&O insurance agency
    • RIASure Team
  • Insights

    • Knowledge Center

      • RIASURE Risk Tip Articles
      • RIASURE Risk Survey
      • Industry Articles
      • Loss Scenarios
      • Frequently Asked Questions
    • Complimentary Downloads

      • RIASURE Risk & Insurance Guide
      • Private Fund Risk & Insurance Guide
      • Three Little Known Truths
      • RIASURE Risk Survey
    • Industry Resources

      • Industry Articles
      • Industry Partners
      • Industry Links
      • Educational Videos
    • Client Resources

      • RIA Legal Risk Hotline
      • RIASURE Risk Panel
  • Events
  • Contact Us
    • (800)273-5883

    • Have a question?
    • Staff Directory
    • Company Disclosure
    • Careers
 

Loss Scenarios

Investment Advisor Practice Claim Examples

FINANCIAL INSTITUTIONS

  • Failure to Adhere to Contract Provisions
  • Failure to Adhere to Contract Provisions/Contract Stipulation Overlooked
  • Securities Violation, Fraud/Hedge Fund Market Manipulation Results in Litigation
  • Suitability of Investments/Failure to Make Contributions

FIDUCIARY

  • Denial of Benefits, Improper Advice
  • Administrative Error/Enrollment Oversight
  • Administrative Error/Life Insurance Benefit Dispute
  • Administrative Error/Mismanagement of Retirement Funds

DIRECTORS & OFFICERS

  • Unfair Competition/A Cashless Settlement
  • Misrepresentation/A Costly Misrepresentation
  • Breach of Fiduciary Duty, Fraud/After Six Years, A Lawsuit
  • Misrepresentation/Director Buys Company, Then Sues It
  • Misappropriation of Trade Secrets/Not a Fair Trade
  • Misrepresentation/Omission Commission
  • Breach of Duty of Care/Pressure-Packed Lawsuits
  • Negligent Misrepresentation/Sale Gone Sour
  • Breach of Duty of Care/Sold to the Highest Bidder
  • Theft of Trade Secrets

EMPLOYMENT PRACTICES

  • Wrongful Termination/Bad Employees-Just Get Worse
  • Age Discrimination/Discrimination-Doesn’t Get Better With Age
  • Sexual Harassment/Inappropriate Jokes-The Punchline is Not Funny
  • Sexual Harassment/Office Love-Can Lead to Corporate Heartbreak
RIASURE Library of Claims.

RIA Loss Scenarios Scruggs Chubb Cornerstone Producer Golsan Scruggs

RIA Loss Scenarios Chubb Alliance Partner Golsan Scruggs

RIA Loss Scenarios Markel Western Referred Agent Golsan Scruggs

OREGONWASHINGTONTENNESSEETEXAS
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