Securities Expert Witness Areas of Support

On the home page we state that:  “We strongly believe this is a great industry, dominated by people of good character and integrity, and we are proud to work hard to support it.”

Our business model is founded on being the right match to provide a valued service. As such, we are happy to review a claim, on our time and expense, to determine if we have the proper background and agreement to support a case.

Broadly, our financial services expert witness areas of expertise include:

  • Retail Broker-Dealers
  • Institutional Broker-Dealers
  • Discount Web Broker-Dealers
  • Independent Broker-Dealers
  • Clearing Firms
  • US Domestic Broker-Dealer Operations
  • International Trading, Settlement and Custody
  • Non-US Foreign Accounts
  • Anti-Money Laundering (AML)
  • FINRA Compliance
  • Contract Issues

Specifically related to securities expert witness and litigation support, our written opinions, and testimonies to date have encompassed the following topics:

  • Supervision
  • Suitability
  • Churning
  • Senior Issues
  • Financial Advisor Heightened Supervision
  • Outside Business Activities
  • Private Security Transactions
  • Written Supervisory Procedures (WSPs)
  • SEC Direct Market Access (15c3-5)
  • Broker-Dealer Operations
  • Trade Settlement
  • Clearing
  • Master Accounts and Sub-Accounts (FINRA 10-18)
  • Anti-Money Laundering (FINRA 3310)
  • Books and Records (SEC 17-a-3)