- Third Party POA Article PIba Bar Journal Vol.23 No. 2.pdf
- “Unauthorized Discretionary Trading 2020”, PIABA Bar Journal, Vol 27, No 1 (2020).
- “Swimming Naked When the Tide Goes Out - Naked/Short Options 2013”,
- “Due Diligence – Securities Applications and Regulatory Requirements 2011”
- Online/Internet Trading Gambling, BD’s No Duties, Third-Party Accounts PIABA Bar Journal Vol. 30 No. 1
Contact this Expert Witness
- Company: Invest Securities Consulting, Inc.
- Phone: (719) 783-3230
- Website: WWW.SECURITIESEXPERT.COM
Specialties & Experience of this Expert Witness
General Specialties:Securities & Investments and Financial
Specialty Focus:securities, FINRA, arbitration, SEC, Stocks, Bonds, Options, cryptocurrencies, fraud, regulations, compliance, online, due diligence, violations, brokers, broker-dealer, wall street, margin, commissions, trading, investments, order failure, churning, naked, short options, puts, calls, advisor, RIA
Education:Bachelor of Science, American University, Washington, DC
Years in Practice:34
Number of Times Deposed/Testified in Last 4 Yrs:25
Douglas J. Schulz has worked in the securities industry for 42 years. He has worked as a Securities Expert Witness for 34 years. He holds the highest certification by a securities regulatory body, (FINRA/Wharton School of Business); he is a Certified Regulatory Compliance Professional, CRCP. He has worked as a Registered Representative for such firms as Bear Stearns, Merrill Lynch and Investors Diversified Services (IDS). He has held numerous securities licenses and has also worked as a Registered Investment Advisor (RIA). Mr. Schulz has been a securities expert witness through his Company, Invest Securities Consulting Inc. which is based in southern Colorado. Invest has been hired to do financial investigative and due diligence work for brokerage firms, investment banking firms, publicly traded companies, individual investors, and merchant banking operations. Mr. Schulz has been involved in over 1,170 cases and has testified over 650 times. He has worked closely with regulators on numerous cases and has been an arbitrator for FINRA for 30 years. He co-authored a book Brokerage Fraud What Wall Street Doesn't Want You to Know. The book was favorably reviewed by BusinessWeek. Mr. Schulz has been quoted in almost every financial publication in the United States, and due to the popularity of his book was a regular guest on financial radio and television programs. He has been a prolific author of articles and treatises on securities regulation and securities arbitration. His website, www.securitiesexpert.com is very comprehensive, including articles, references and videos. SERVICES OFFERED Invest Securities Consulting, Inc. through its President and securities expert witness Douglas J. Schulz offers numerous services relating to investments such as: Evaluation of possible breach of securities regulations and industry norms, compliance and supervisory violations and lapses; analyzing brokerage accounts as it relates to, commissions, churning, unsuitable investments, conflicts of interest, turnover analysis, cost analysis, evaluation of investment strategies utilized, damage analysis, comparative loss analysis; litigation support & consultation, discovery review & recommendations; testifying as a securities expert witness. ADDITIONAL AREAS OF EXPERTISE Securities Regulations, Municipal Bonds, Naked Options, Index Options, Covered Call Writing, FINRA Regulations, SEC and state securities regulations, FINRA Arbitration, Brokerage Firms, Registered Investment Advisor, Broker-Dealer rules policies and procedures, Online Broker-Dealers, Standards and Norms of the securities industry, 1933 Act, 1934 Act, Investment Advisors Act of 1040, Investment Advisers, RIA's, Securities Fraud, Investment Fraud, Stock Funds, Bond Funds, Selling Away, Margin and Margin liquidations, Insider Trading, Commissions, Online and Internet Stock Trading, suitability, churning, excessive trading, unauthorized trading, selling away, insider trading, day trading, order failure, damages, cryptocurrencies, Breach of Fiduciary Duty, Securities Fraud Investigations, Mutual Fund & Hedge Fund Mismanagement, Self-Dealing & Front-Running, Securities Fraud, Unauthorized Trading, Churning, Options, Stocks & Bonds, Compliance Violations, Supervisor of Registered Representatives, Supervisory Violations and Lapses, Due Diligence, Concentration - Lack of Diversification, Order Failure, Illegal Discretionary Trading, Broker Standard of Care, Broker/Brokerage Firm Malpractice or Malfeasance, Stockbroker Violations, Damage Calculations & Loss Analysis, Damages & Punitive Damage Analysis, Inconsistencies in Trading Activities, Breach of Securities Regulations, Improper Sales of Limited Partnerships and Private Placements, Compliance Obligations for Registered Investment Advisors, RIAs