Uniform Prudent Investors Act Expert Witnesses
Uniform prudent investors act 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 uniform prudent investors act. The uniform prudent investors act 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
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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
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 ...