Failure To Supervise Expert Witness Listings

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

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Robert D. Lawson, AIF®, CFE®, MRFC®, LUTCF® Barrington Financial Consulting Group, Inc.

Bloomington, Minnesota
Fraud Expert Witness, Securities & Investments Expert Witness - FINRA Arbitration, Breach of Fiduciary Duty, Failure to Supervise, Concentrated Portfolios, Fiduciary Standard of Care and Responsibility, Outside Business Activities, Alternative Investments, Broker & Investment Adviser Fraud, Securities Fraud, Variable Annuities, Stock & Index Options, Mediation.
Mr. Lawson presides as a FINRA & NFA Dispute Resolution Arbitration Chairperson and is a qualified FINRA Mediator. He is recognized by the Minnesota Supreme Court as a Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice as a Civil Facilitative/Hybrid Mediator and Adjudicative/Evaluative Arbitrator. Mr. Lawson is the President of Barrington Financial Consulting Group, Inc., a securities litigation consulting firm. In 1988, Mr. Lawson founded Barrington Capital Management, Inc., a Registered Investment Advisory firm and Insurance Agency, where he continues to serve as the President and Chief Compliance Officer. He is an Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Master Registered Financial Consultant (MRFC®), and a Life Underwriter Training Council Fellow (LUTCF®). His breadth of securities experience includes managing and supervising FINRA broker-dealer branch offices as a Registered Securities Principal, Options Principal, and...
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Alan J Besnoff, CFP, ChFC, CLU Securities Expert Witness & Litigation Support, LLC

Fremont, New Hampshire
Insurance Expert Witness, Securities & Investments 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
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 insurance Long term care ins...
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Clayton J. Baker, MD, CM

Pittsford, New York
General Practice Expert Witness, Internal Medicine Expert Witness - Diabetes, Cancer Diagnosis, Heart Attack, Urgent Care, Narcotic Prescribing, Adverse Drug Reaction, Medical Errors, Medication Errors, Stroke, Failure to Diagnose, Failure to Supervise, Standard of Care
Dr. Baker is a Harvard trained, Board Certified internal medicine physician with over 20 years of clinical experience. He has an active clinical practice, and he holds an academic appointment as Clinical Associate Professor of Internal Medicine at the University of Rochester School of Medicine and Dentistry. He has also held appointments at the University of California, San Diego, at the University of Arizona, and at Harvard University. He has many years of experience teaching medical students and residents. Dr. Baker has numerous publications in prominent medical journals including JAMA, Annals of Internal Medicine, and the New England Journal of Medicine. He has a broad range of clinical experience in both inpatient and outpatient medicine, in the private sector as well as in the US Public Health Service and the Veterans Administration. Currently, he works in an outpatient practice. As an expert witness, Dr. Baker strives to provide his clients with the most complete and well-fo...
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