Securities Expert Witness Areas of Support

We strongly believe this is a great industry, dominated by people of good character and integrity. 

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
  • Registered Investment Advisors (RIAs)
  • 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 (Broker-Dealer Best Interest and RIA Fiduciary Responsibilities)
  • Introducing Broker - Clearing Broker Agreements (FINRA 4311)
  • Anti-Money Laundering (FINRA 3310)
  • Trade Settlement Processing (US Domestic and International)
  • 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
  • Clearing
  • Master Accounts and Sub-Accounts (FINRA 10-18)
  • Books and Records (SEC 17-a-3)