Broker-Dealer Coverage

Broker-Dealer Coverage  


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  • E&O Insurance can help protect your firm from the clients’ claims or complaints alleging errors or omissions by your firm or its staff. AMBA will perform a risk assessment of your E&O exposure and propose coverage options.

  • The ever-changing financial landscape requires that businesses become more adept at managing their emerging risks involving fraud. Let AMBA help you navigate the requirements and obtain the Fidelity Bond coverage you need.

  • Designed to protect executives from allegations of breach or dereliction of official / managerial duty, negligence, mismanagement, etc. D&O Liability Insurance has become increasingly important to private firms of all sizes.

  • Your firm as the sponsor of a benefit plan (such as 401k), and you as the firm's owner, officer or trustee of such a benefit plan face litigation risk from the benefit plan's participants. AMBA's Fiduciary Liability Insurance product helps protect the firms' assets and its officials' personal assets.

  • EPLI provides protection for your firm from claims and suits alleging sexual harassment, discrimination, wrongful termination, and more. AMBA provides superior, cost-effective coverage tailored to your business needs.

  • The U.S. Department of labor requires all qualified employee retirement plans to purchase ERISA fidelity bond to protect the plan assets from its fiduciaries. AMBA provides personalized service and customized products.

  • AMBA can place Business Owner's Package (BOP) Policy, Umbrella Liability Insurance and Workers' Compensation Insurance. Before renewing these policies, please contact AMBA so it can arrange alternative Property & Casualty Insurance solutions for you.

  • This Mail Bonds policy protects broker-dealers against “risk of direct physical loss” of securities or other covered property while being shipped.