8 Broker Dealer Expert Witnesses Found

Banking, Financial - 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.

...SECURITIES & INVESTMENTS: Experts include investment, trust & fiduciary specialists, investment bankers, brokers, brokerage managers, compliance officers, accountants, economists, statisticians and regulators. SECURITIES & INVESTMENTS AREAS OF EXPERTISE INCLUDE: Broker/dealer standards & compliance; Investment advisor duties; Securities suitability re: stock trading, options/futures; Investment banking; Stocks / bonds / commodities / hedge funds / mortgage securities; Trading & portfolio management; Supervision, operations & settlements; Syndications; Capital markets; FINRA arbitration; Fiduciaries & Trustees’ standards/practices and duties for corporate & personal trusts’ investments, operations, trust services and trust/fiduciary fees; Damages, Economic / Statistical analysis, valuations, analysis and forensic accounting. ECONOMICS, DAMAGES, ACCOUNTING, & VALUATIONS Experts include senior bankers, consultants, economists, accountants, actuaries, statisticians, appraisers....

Securities & Investments - 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.

President and Founding Principal of Diles Consulting, Colleen has 25 + years of experience in the securities industry. Colleen worked at the Financial Industry Regulatory Authority (FINRA) for 22 years supervising both Examination and Risk Monitoring teams. Most recently, at FINRA, Colleen served as Risk Monitoring Director and Los Angeles Office Senior Leader. Prior to joining FINRA, Colleen held the position of Mutual Fund Administration Supervisor at Chase Global Fund Service Company in Boston, Massachusetts. During her tenure at FINRA, Colleen developed and enhanced company programs and processes and successfully worked with technology partners to create solutions to advance Risk Monitoring business needs. Additionally, Colleen served as the Los Angeles Regulatory Point of Contact and established relationships with federal and state regulators through stakeholder forums. This included regular interaction with national and regional SEC offices, State securities regulators, NAASA, Federal...

Securities & Investments, Insurance - 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 am celebrating 5 decades in the securities Industry. I am both a FINRA Arbitrator and the designated securities expert witness for the CA State Bar. I am a consulting expert in litigation and arbitration having testified in 25 states involving securities, insurance and annuities. Since 1991, I have been retained over 1000 times and have testified in 365 arbitrations before NASD, FINRA, JAMS, PSE, AAA and PSE along with attending and testifying in over 100 mediations. In addition, I have qualified and testified before the L.A. Federal Court along with State Courts in L.A., Orange, Fresno and San Diego. My case track record stands at 328 wins and 37 losses. From a long-standing banking background in corporate finance to underwriting and investment banking and real estate experience, I bring a strong knowledge of modern portfolio theory through the teaching of hundreds of retirement financial planning seminars at the corporate level. It is my goal to bring a refreshing...

Securities & Investments, Banking - RIA, Broker Dealers, Banking, Lending, Estates, Trusts, Fiduciary, Securities, Crypto & Specialty Assets, Reg BI, Accredited, International, Firm Practice, Regulatory, Risk Management, 1031/DST, Complex Insurance Plans, FINRA, OCC, SEC, Forensic, Fraud, Human Resources, Case Strategy, Supervision.

With over 38 years of experience in the financial services industry, I currently hold the positions of President, Chief Compliance Officer, and Owner of Wealth Innovation, a boutique Registered Investment Adviser firm. Additionally, I am the founding advisor at Wealth Advocacy, a consultancy specializing in business and consumer financial services. I am the President, Founder, and Owner of Esoteric Advisors, a collaborative consulting and expert witness company that aims to foster a robust and extensive collegial network of fellow experts. My professional journey includes serving as a FINRA and court admitted expert witness. I have authored numerous expert reports, participated in depositions, and provided testimony in arbitration and court proceedings. My unwavering commitment to business and personal compliance, legal integrity, and creditworthiness is impeccable. I have held several significant positions with a major financial institution. These roles have encompassed audit-risk management...

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

...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

Securities & Investments, Accounting - Adequacy of disclosure in securities offerings , adequacy of due diligence by brokers and investment advisers, accounting and audit negligence, private placement of securities, real estate investments, fixed income securities, Ponzi schemes, financial analysis, life settlements, securities fraud.

...I have owned a securities broker-dealer, worked as an investment banker and fixed income analyst and testified in federal court on damages related to patent infringements and adequacy of disclosure in tax-exempt bond documents. I have testified in SEC administrative hearings involving audit negligence as well as financial reporting fraud by officers of a publicly held pharmaceutical company. I have testified on the accuracy of disclosure in a life insurance premium financing scheme and have been engaged twice in matters involving life settlements. In addition, I have had articles published by the Financial Executives International Research Foundation, the Professional Officers' and Directors' Liability and Law Committee Newsletter of the American Bar Association, and other professional journals and newsletters....

Employment, Vocational Rehabilitation - Executive Compensation, Financial Services Employment, Financial Services Compensation, Hedge Fund Employment, Hedge Fund Compensation, Private Equity Compensation, Investment Employment, Investment Management Compensation, Wall Street Compensation, Employment Litigation, Wrongful Termination

...He has represented both employers and employees at Investment Management Firms, Mutual Funds, Hedge Funds, Private Equity Firms, Wealth Managers, Investment & Commercial Banks and Broker Dealers. Mr. Carr has provided expert reports and testimony for matters before the American Arbitration Association, JAMS, FINRA, Supreme Court of the State of New York, Commonwealth of Massachusetts Superior Court and the United States District Court for the Southern District of New York. Additional case jurisdictions have included New Jersey, Connecticut, Texas, Minnesota, Illinois, Wisconsin, Ohio, California, Florida and Singapore. Mr. Carr is a former corporate banker, investment firm Chief Financial Officer and a 22 year veteran of executive search for the Financial Services industry. Frank is the founder of Centennial Advisory Group, an alternative investment focused executive search firm. He had previously been a Managing Director in the Global Asset Management practice at A.T....

Accounting, Accounting - PCAOB Audits, SEC Audits, SEC Accounting, SEC Reporting, Accounting (GAAP) and Audit Malpractice, Securities & Exchange Commission, Financial Statement Audits, Generally Accepted Auditing Standards (GAAS), PCAOB Audit Standards, Auditor Ethics and Independence Rules, Auditor Quality Control Standard

...This webinar provided participants with an overview of the recent and proposed SEC and PCAOB regulatory actions related to accounting and auditing for public companies and broker-dealers, including: PCAOB and SEC audit standards and rules, concept and other releases, proposed other releases, results of recent PCAOB Inspection reports of Auditors of Registrants and PCAOB Inspection Reports of Auditors of Broker Dealers, Staff Audit Practice Alerts, and PCAOB Staff FAQ’s