Coverage Features

Download the 2020-2021 E&O Highlight Guide

In the event you have a Claim, you should immediately forward notice to ProEquities

ProEquities, Inc.

Attention: Legal Department

2801 Highway 280 S., Legal 3-4

Birmingham, AL 35223

Email:  Fax: 866-123-4567

Policy Number:  00012345679-01

Policy Period:     February 15, 2020 to February 15, 2021 12:01 am

Limit Options:

  •     $1,000,000 Each Claim $1,000,000 Aggregate or

  •     $2,000,000 Each Claim $2,000,000 Aggregate


  •     $ 2,500 Each Claim involving insurance products, mutual funds, variable products

  •     $ 5,000 Each Claim involving Securities or Cyber Liability

  •     $ 0 Each Claim involving covered Regulatory Matters


The Insurer shall pay on behalf of the Insureds that Loss which the Insureds become legally obligated to pay resulting from a Claim for a Wrongful Act solely in rendering or failing to render Professional Services. Coverage for a Claim for a Wrongful Act applies only if the Wrongful Act giving rise to such Claim with respect to any Advisor occurred on or after the Prior Acts Date and before the earlier of the date such Advisor ceased enrollment in the program, or the end of the Policy Period, and while their enrollment was on file with ProEquities.