Patents by Inventor Scott Fergusson
Scott Fergusson has filed for patents to protect the following inventions. This listing includes patent applications that are pending as well as patents that have already been granted by the United States Patent and Trademark Office (USPTO).
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Publication number: 20230401581Abstract: Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.Type: ApplicationFiled: August 29, 2023Publication date: December 14, 2023Inventor: Scott Fergusson
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Publication number: 20210287213Abstract: Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.Type: ApplicationFiled: June 1, 2021Publication date: September 16, 2021Inventor: Scott Fergusson
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Publication number: 20190295080Abstract: Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.Type: ApplicationFiled: June 11, 2019Publication date: September 26, 2019Inventor: Scott Fergusson
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Publication number: 20170278106Abstract: Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.Type: ApplicationFiled: June 13, 2017Publication date: September 28, 2017Inventor: Scott Fergusson
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Publication number: 20160071103Abstract: Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.Type: ApplicationFiled: November 16, 2015Publication date: March 10, 2016Inventor: Scott Fergusson
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Publication number: 20160063075Abstract: Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.Type: ApplicationFiled: April 1, 2015Publication date: March 3, 2016Inventor: Scott Fergusson
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Publication number: 20140096239Abstract: Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.Type: ApplicationFiled: December 9, 2013Publication date: April 3, 2014Applicant: Broadridge Securities Processing Solutions, Inc.Inventor: Scott Fergusson
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Patent number: 8606669Abstract: Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.Type: GrantFiled: June 1, 2006Date of Patent: December 10, 2013Assignee: Broadridge Securities Processing Solutions, Inc.Inventor: Scott Fergusson
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Publication number: 20110055064Abstract: Methods and systems are provided for assisting financial services firms and their representatives in efficiently managing their businesses, and in developing and maintaining strong customer service and loyalty. An integrated, preferably web based browser operated system is provided that uses one or more central databases to store customer, account, accounting, compliance, and other relevant information. Interfaces and tools are also provided for accessing the one or more central databases in a manner that is consistent with and supports how a representative actually works.Type: ApplicationFiled: March 29, 2010Publication date: March 3, 2011Inventor: Scott Fergusson
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Patent number: 7689489Abstract: Methods and systems are provided for assisting financial services firms and their representatives in efficiently managing their businesses, and in developing and maintaining strong customer service and loyalty. An integrated, preferably web based browser operated system is provided that uses one or more central databases to store customer, account, accounting, compliance, and other relevant information. Interfaces and tools are also provided for accessing the one or more central databases in a manner that is consistent with and supports how a representative actually works.Type: GrantFiled: July 27, 2001Date of Patent: March 30, 2010Inventor: Scott Fergusson
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Patent number: 7653564Abstract: Systems and methods are provided for helping businesses provide a measure of supervision over the activities of their representatives without requiring a significant amount of manual data sorting and/or cross-correlation. This is accomplished by providing a database in which each representative records his/her activities. Predefined reports are then run against the database, preferably at preset intervals, which identify potentially unacceptable activity. The reports generate one or more alerts that flag the unacceptable activity, and each alert is reviewed and/or investigated as desired. The systems and methods preferably are arranged to be consistent with industry hierarchies, allowing each supervisor in the hierarchy to maintain unique report parameters.Type: GrantFiled: July 27, 2001Date of Patent: January 26, 2010Assignee: Investigo CorporationInventors: Scott Fergusson, Tom Rozman
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Publication number: 20090006267Abstract: Systems and methods for assisting financial services firms in the suitability screening and management of customer accounts, including computer programs for implementing such systems and methods, are disclosed. An illustrative system for performing compliance and account management at a financial services firm can include a number of representatives each having a number of clients, a compliance department including a number of supervisors each having supervisory review over client accounts managed by the representatives, and a computer program that can be used to generate electronic account applications that can be transmitted directly to a fund company for the purchase of funds. The computer program can include a hierarchical rules engine that can be used to create electronic control hierarchies that facilitate principal review over accounts and trades generated by the representatives.Type: ApplicationFiled: April 18, 2007Publication date: January 1, 2009Applicant: INVESTIGO CORPORATIONInventors: Scott Fergusson, Bob Hollman, Joseph Leahy, III, Jennifer Purdue, Thomas Rozman
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Patent number: 7349865Abstract: Methods and systems for monitoring the efficacy of a marketing campaign or project. In one embodiment, a customer database stores information about each customer of a firm or business. A number of marketing project parameters are then defined, and run against the information in the customer database to identify those customers that are likely to be interested in a marketed product. The identified customers are notified about the marketed product, preferably through a representative of the firm or business. Then, each sale of the marketed product to the identified customers is recorded. A marketing project efficacy indicator can then be determined by, for example, comparing the number of customers that were notified about the product with the number of customers that actually purchased or did not purchase the product, preferably within a given time period. Preferably, marketing efforts can then be refined based on a timely analysis of the marketing project efficacy.Type: GrantFiled: July 27, 2001Date of Patent: March 25, 2008Assignee: Investigo CorporationInventors: Scott Fergusson, Tom Rozman
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Publication number: 20080040610Abstract: Systems, methods, and interfaces for screening clients for security compliance with a Customer Identification Program are disclosed. An illustrative system for screening clients can include a client screening engine adapted to filter client account data based on one or more filtering criteria, a database adapted to store client account information and verification status information, and a graphical user interface adapted to selectively display client account information and verification status information for one or more selected clients on a screen. The system can be used to submit identity verification requests to Customer Identification Program vendors for only those clients whose identity have not been verified.Type: ApplicationFiled: June 1, 2006Publication date: February 14, 2008Applicant: INVESTIGO CORPORATIONInventor: Scott Fergusson
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Publication number: 20030212566Abstract: Methods and systems are provided for assisting organizations in complying with Do-Not-Call laws. The system gains access to one or more Do-Not-Call (DNC) listings, and notifies a telemarketer or other sales person when a prospective client should not be called. Various methods are also disclosed for determining when a prospective client can be contacted despite being listed on a DNC list.Type: ApplicationFiled: May 7, 2002Publication date: November 13, 2003Applicant: Investigo CorporationInventors: Scott Fergusson, Tom Rozman
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Publication number: 20030023531Abstract: Methods and systems are provided for assisting financial services firms and their representatives in efficiently managing their businesses, and in developing and maintaining strong customer service and loyalty. An integrated, preferably web based browser operated system is provided that uses one or more central databases to store customer, account, accounting, compliance, and other relevant information. Interfaces and tools are also provided for accessing the one or more central databases in a manner that is consistent with and supports how a representative actually works.Type: ApplicationFiled: July 27, 2001Publication date: January 30, 2003Inventor: Scott Fergusson
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Publication number: 20030023477Abstract: Systems and methods are provided for helping businesses provide a measure of supervision over the activities of their representatives without requiring a significant amount of manual data sorting and/or cross-correlation. This is accomplished by providing a database in which each representative records his/her activities. Predefined reports are then run against the database, preferably at preset intervals, which identify potentially unacceptable activity. The reports generate one or more alerts that flag the unacceptable activity, and each alert is reviewed and/or investigated as desired. The systems and methods preferably are arranged to be consistent with industry hierarchies, allowing each supervisor in the hierarchy to maintain unique report parameters.Type: ApplicationFiled: July 27, 2001Publication date: January 30, 2003Inventors: Scott Fergusson, Tom Rozman
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Publication number: 20030023475Abstract: Methods and systems for monitoring the efficacy of a marketing campaign or project. In one embodiment, a customer database stores information about each customer of a firm or business. A number of marketing project parameters are then defined, and run against the information in the customer database to identify those customers that are likely to be interested in a marketed product. The identified customers are notified about the marketed product, preferably through a representative of the firm or business. Then, each sale of the marketed product to the identified customers is recorded. A marketing project efficacy indicator can then be determined by, for example, comparing the number of customers that were notified about the product with the number of customers that actually purchased or did not purchase the product, preferably within a given time period. Preferably, marketing efforts can then be refined based on a timely analysis of the marketing project efficacy.Type: ApplicationFiled: July 27, 2001Publication date: January 30, 2003Inventors: Scott Fergusson, Tom Rozman