Securities Expert Witness Areas of Support

We strongly believe that the financial services industry is dominated by people of good character and integrity, both as clients and as industry participants. We are happy to be of service to help combat bad actors who are found on either side of the legal claims.

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)