B/D Employment Issues Expert Witness Listings

Welcome to our B/D Employment Issues experts directory. Browse the profiles below to find the right expert witness in B/D Employment Issues for your case. Our SEAK Expert Witness Database is always free to search.

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Thomas G. Taliaferro, CIMA®, AIF®

San Diego, California
Financial Expert Witness, Securities & Investments Expert Witness - 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, supervision, B/D employment issues
Financial advisor/portfolio manager with over 30 years’ professional experience including serving as a Senior Vice President for both Morgan Stanley and Wells Fargo Advisors. Extensive experience with high net-worth and ultra-high-net worth clients. Substantial supervisory experience including managing 55 financial advisors with accounts totaling in excess of $4 billion. Experience with numerous employment issues at broker/dealers. Spotless compliance record. Accomplished public speaker. Experienced expert witness testifying in AAA, FINRA and Superior court venues and deposition. Member of Securities Experts Roundtable. Professional Designations: (all from 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--19...

You can also find B/D Employment Issues Expert Witnesses in California