- Securities Expert Witness
Securities Expert Witness & Litigation Services
We are proud to represent either side of the legal table in assisting to support an ethical and honest industry with the highest standards of fairness for broker-dealers and clients alike.
Bedford and Main President and CEO, John Foster, calls upon his unique background in broker-dealer management to offer subject matter advice and testimony as a securities expert witness.
His experience covers the traditional retail brokerage, the corporate institutional, and the “discount” internet sides of the industry. Additionally, he worked for many years in a senior management role for a large, multi-national clearing firm which allowed him to develop a unique expertise with foreign accounts and anti-money laundering considerations.
Mr. Foster most recently served as the President and CEO of an independent broker-dealer where he was responsible for ensuring compliance and regulatory requirements were properly implemented to support a retail-based business. The experience provided John with a uniquely relevant understanding of core FINRA compliance issues, such as suitability, supervision, senior issues, churning, and written supervisory procedures (WSPs). He is proficient in matters related to client and firm interactions with Financial Advisors, which frequently are subjects of FINRA arbitrations.
John is also in the somewhat uncommon situation of having held “C” Level positions and FINRA licenses for both futures and securities firms. His broad background encompasses self-clearing firms and smaller introducing broker-dealers providing US domestic and international securities investments.
In line with his overriding concern to support integrity, honesty, and fairness to all parties within the industry, John annually attends PIABA meetings.