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Unauthorized Trading Expert Witness Listings

Welcome to our Unauthorized Trading experts directory. Browse the profiles below to find the right expert witness in Unauthorized Trading for your case. Our SEAK Expert Witness Database is always free to search.


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Thomas G. Taliaferro, CIMA

San Diego, California

Financial Expert Witness, Securities & Investments Expert Witness fiduciary duty, Uniform Prudent Investors Act, churning, suitability, broker/dealer standards and compliance, investment advisor, portfolio management, asset allocation, unauthorized trading, FINRA, financial advisor, financial planning, supervision, employment issues, high & ultra-high net-worth
Additional Information Financial advisor/portfolio manager with over 30 years’ professional experience including serving as a Senior Vice President for both Morgan Stanley and Wells Fargo. Highly experienced with high net-worth and ultra-high-net worth clients. Extensive supervisory experience including managing 55 other financial advisors with accounts totaling in excess of $4 billion. Experience with numerous financial advisor employment issues at broker/dealers including: compensation, hiring, employability, termination, complaints, portability of accounts, non-competes and discipline. Spotless compliance record. Accomplished public speaker. Professional Designations: (all from Wharton School Executive Education): Certified Investment Management Analyst Senior Financial Advisor Senior Branch Manager Licenses Held: Series 7—General Securities License--1985 Series 3—National Commodities Futures License--1986 Series 63—Uniform Securities Agent--1986 Series 65—Uniform Investment Advisor--...

Douglas Schulz, CRCP

Invest Securities Consulting, Inc.

Westcliffe, Colorado

Securities & Investments Expert Witness stocks, bonds, mutual funds, options, FINRA, SEC, arbitration,unauthorized trading, churning, margin, commission, stocks, bonds, municipal bonds, government bonds, mutual funds, ETF, NYSE, CBOE, Chicago board of options exchange, suitability, supervision, compliance, stockbroker, investment advisor
Additional Information RIA, due diligence, investments, retirement accounts, brokerage firms, Merrill Lynch, JP Morgan, UBS, Morgan Stanley, TD Ameritrade, Charles Schwab, securities regulation, 1933 securities act, 1934 securities exchange act, Order execution, order failure, stock market, Arbitration, FINRA, SEC, securities exchange commission, unauthorized trading, churning, margin, commissions, stocks, bonds, municipal bonds, government bonds, mutual funds, ETF, ETF's, NYSE, new York stock exchange, CBOE, Chicago board of options exchange, Options, stock options, suitability, supervision, compliance, stockbroker, broker, investment advisor, registered investment advisor, RIA, securities arbitration, due diligence, investments, retirement accounts, brokerage firms, Merrill Lynch, JP Morgan, UBS, Morgan Stanley, TD Ameritrade, Charles Schwab, securities regulation, 1933 securities act, 1934 securities exchange act, suitability, Order execution, order failure, stock market,

Alan J Besnoff, CFP, ChFC, CLU

Securities Expert Witness & Litigation Support, LLC

Bedford, New Hampshire

Securities & Investments Expert Witness, Insurance Expert Witness Mutual Funds, Annuities, Financial Planning, Disability Ins., Life Insurance, Long Term Care Ins., FINRA, Misrepresentation, Asset Allocation, Retirement Plans, Unauthorized Trading, Suitability, churning, Failure to Supervise,Employment,U-5, Variable Annuities, Investments, Alternative Investment
Additional Information Over 30 years experience with securities, investments, financial planning, and insurance at the financial advisor, supervisory, and managing principal level. Conducted over 1,000 classes, workshops, and presentations on securities, investments, financial planning and insurance to a wide variety of audiences including financial professionals, university students, and consumers. During tenure as supervisor & managing principal provided suitabily guidance on thousands of securities & investment transactions. Developed and taught compliance training programs and implemented policies & procedures to assure branch offices, financial advisors and managers, were in compliance with FINRA and SEC regulations. Areas of Expertise include: Suitability Churning Failure to supervise Breach of fiduaciary duty Asset allocation Unauthorized trading Over concentration Misrepresentation Mutual funds Financial Planning Annuities Retirement Plans Life insurance Disability insura...