---
title: "Financial Institution’s E&O: Weathering the Storm "
description: "Financial Institution’s E&O: Weathering the Storm"
---

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# Financial Institution’s E&O: Weathering the Storm 

[Mike Smith](https://blog.plrisk.com/author/mike-smith)

 Sep 3, 2014, 10:10:10 AM

**Financial Institution’s E&O  
 Weathering the Storm  **

**Eastern Chapter**

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**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**.***  
**PANELISTS: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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