Broker/Dealer Standards And Compliance Expert Witnesses
Broker/dealer standards and compliance expert witnesses and consultants listed here may be able to form expert opinions, draft expert witness reports, provide expert witness testimony at deposition and/or trial as or serve as consulting (non-testifying) experts on broker/dealer standards and compliance. The broker/dealer standards and compliance expert witness listings on this page are typically from fields/areas of expertise such as: Financial and Securities & Investments.
Thomas G. Taliaferro, CIMA®, AIF®
San Diego, California
Securities & Investments, Financial
-
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
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. 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 ...