Financial Institution’s E&O: Weathering the Storm 

Financial Institution’s E&O
Weathering the Storm  

Eastern Chapter



Or submit the Registration Form to PLUS


Thursday, September 18 5:30 – 8:00 p.m.
Registration begins at 5:00 p.m.
Seminar 5:30 – 7
Reception 7 – 8 Vanderbilt Suites Hotel
MetLife Bldg, New York, NY 10166 This course has been approved for 1.5 CLE credits in New Jersey and New York through Winget, Spadafora & Schwartzberg, LLP.
James Kirtland, Vice President, Corporate Risk Management;
ING U.S./Voya
Mary McIvor, Global Head of Financial Institutions Claims;
American International Group
John J. McKenna, Jr., Senior Broker;
ARC Excess & Surplus, LLC
Lilian Morvay, Assistant Vice President;
Catlin, Inc.Moderator:
Luigi Spadafora
, Partner;
Winget, Spadafora & Schwartzberg, LLP


TOPIC DESCRIPTION:  Non-Bank financial services companies operate in a minefield as it relates to the services they provide to clients and customers, and the associated exposures resulting therefrom. Broker Dealers, Investment Advisors, Specialty Lenders, Hedge Funds, Private Equity Funds and Alternative Investment Companies such as Non-Public REIT’s and related Non-Traded Investment vehicles have unique and inherent exposures in the businesses they operate. In addition, the regulatory environment remains difficult as the scrutiny placed on financial services firms continues to expand. The panel will discuss the exposures facing these diversified financial services firms and the types of litigation they typically see as well as the hurdles underwriters have to overcome in assessing these risks. Finally, the panel will explore the solutions available in the insurance marketplace and key coverage issues that should be addressed in the underwriting of financial services E&O and Fidelity insurance products.

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