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Cambridge Alliance
Application
AIG
Application
Hartford
Application
Chubb
Application
Travelers
Application

Forward the completed applications and supplemental information to our office.

Fax: (503)244-0298
Email: info@golsanscruggs.com


Welcome to Golsan Scruggs, investment advisor professional liability specialists since 1992. We hope you will find the information helpful in determining how best to protect your business practice. You will find links to investment advisor professional liability applications, financial planning practice loss prevention articles, and various risk management resources.

RISK MANAGEMENT ARTICLES

The following articles were written by Bud Bigelow, The Cambridge Alliance, for publication in various trade publications within the financial community.

• Insuring Your Financial Planning Practice
• Loss Prevention and the Greening of the Financial Planning Profession
• Perils of Group Sponsored Broker Dealer E&O Insurance Programs
• Standards and the CFP Practitioner's Exposure to Liability
• Surviving in the Liability Jungle
• Are There Differences Among Policies?
• Selecting A Limit
• What Should RIAs Ask About Professional Liability Insurance?

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The following articles were written by Todd E. Schwartz, Carr, Schwartz & Butterfield, for publication in various publications within the financial community.

• Regulation S-P: Now More Important Than Ever
• Tips on Pushing That Compliance Rock Up The Hill

The following notes regarding federal and state securities laws were compiled by Ken Golsan, principal of Golsan Scruggs.

• Ken's Securities Law Notes

RISK MANAGEMENT RESOURCES

FI360
The mission of fi360 is to promote a culture of fiduciary responsibility and improve the decision making process of investment fiduciaries. FI360 members with the AIF designation get a 5% Cambridge Alliance affinity premium discount.

• FI360 Homepage
• Prudent Practices for Investment Advisor

LOSS SCENARIOS

• Failure to Adhere to Contract Provisions
• Suitability of Investments
• Failure to Follow Investment Guidelines
• Negligence/Suitability of Investments
• Negligence/Unauthorized Trade