4 Broker/Dealer Compliance Expert Witnesses Found
Results Sorted Below by State
Advisors / Experts @MCS Associates National Expert Witness/Consulting Group
Tustin, California
Banking, Financial
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Banking operations, Checking Accounts, Bank Fraud, Trusts & fiduciary, Credit underwriting, Lending (all types), Loan administration, Mortgage banking, Foreclosures, Lender liability, Securities & investments, Economics & Accounting, Damages, failed banks analysis / D&O liability.
...BANKING & LENDING AREAS OF EXPERTISE INCLUDE:
Banking operations; Checking & payments policies, procedures, fraud; Credit / debit cards, deposit & ATM transactions, Funds transfer/wire transactions; Lending of all types (e.g. construction, real estate, corporate, asset-based, leasing, consumer, hard money lending); Lending policies, custom & practice; Credit underwriting/credit evaluation, administration; Problem loan management, Foreclosures, workouts / securitizations; Mortgage lending; Escrow and Title Insurance; Loan servicing; Trust services/operations; fidelity /bankers bonds; Regulatory standards & compliance (TILA, RESPA etc.; Bank/ Credit Union /S&L management, corporate governance; GAAP and Regulatory accounting, Failed bank analysis and Director & Officer Liability....
Colleen Diles Diles Consulting
Los Angeles, California
Securities & Investments
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FINRA Programs, FINRA Risk Hierarchy, FINRA Sales Practice Issues,
FINRA and SEC Rules, Reg BI, Assessment of Internal Controls, Broker-Dealer Compliance and Supervision, Broker-Dealer Regulatory Issues, and Risk Monitoring and Mitigation.
...Colleen left FINRA to become an independent regulatory consultant, assisting clients with regulatory issues, inquiries, and compliance. Services include expert witness testimony, completing FINRA membership applications, responding to inquiries from regulatory agencies, compliance support, and conducting independent reviews (e.g., AML Test, 3120 Report, and Rule 206(4)-7 Report).
Colleen is a NFA Arbitrator and Member of the Association of Certified Anti-Money Laundering Specialists (ACAMS), FINRA Alumni Network, Forensic Expert Witness Association (FEWA), National Association of Black Compliance & Risk Management Professionals (NABCRMP), National Society of Compliance Professionals (NSCP), and Securities Experts Roundtable (SER).
Mason A Dinehart III, RFC FEND - Financial Education Network Development
San Ramon, California
Securities & Investments, Insurance
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Due Diligence, Suitability, Supervision, Standards of Care, Breach of Fiduciary Duty, Variable and Fixed Index Annuities, TIC's, Non-Traded REIT'S, Broker Dealer Compliance, Portfolio Analysis,Private Placements, Elder Abuse, Damages, Misrepresentation, Material Omission and Fraud,
...I was formerly an Outside Business Activities compliance officer with LightPath Capital in Southlake, TX
Thomas G. Taliaferro, CIMA®, AIF®
San Diego, California
Securities & Investments, Financial
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Breach of fiduciary duty, Uniform Prudent Investors Act, churning, suitability, broker/dealer standards and compliance, investment advisor, portfolio management, asset allocation, unauthorized trading, elder abuse, FINRA, financial advisor, financial planning, branch management, securities fraud
...Supervisory experience includes managing 55 financial advisors with accounts totaling in excess of $4 billion and addressing numerous employment issues at broker/dealers. Spotless compliance record. Have testified as an expert witness in AAA, FINRA and Superior court venues and deposition. Member of Securities Experts Roundtable and public speaker.
Professional Designations:
Wharton School Executive Education)--
Certified Investment Management Analyst
Senior Financial Advisor
Senior Branch Manager
FINRA--Dispute Resolution Arbitrator
Center for Fiduciary Studies--Accredited Investment Fiduciary
IMCA--Certification--Fiduciary Best Practices
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--1995
Series 8—General Securities Sales Supervisor and Options Principal--1993