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)