Reasons to hire a Securities Expert:

If you are a Firm you may need an outside opinion on industry practices or need to outsource certain tasks.

If you are an attorney you may need to evaluate a case and identify areas that are obligations owed to clients, versus disclosure duties of clients.

You may need an expert to provide an opinion and explain the forensic dynamics of a situation via testimony.

You may need to know if you have damages.

Expert Services-

Regulatory Issues, Mediation, Arbitration or Court, as a consultant or Expert Witness

Experience counts.  Having worked for regulatory agencies as consulting securities expert, plus having interfaced with them as the Firms Liaison my experience lends insight into various situations.  Since 1987 I've been retained for over 500 cases, reviewed documents, assisted with requests, and contributed towards resolutions with SRO's.  I've testified as an Expert Witness on over 100 cases with several resulting in punitive damages.  My experience includes being a FINRA Arbitrator, participating in mediations, helping Firms with regulatory audits.  Email or Call for further information, a copy of my CV or to discuss your situation.

It helps to have someone with testimony and industry experience who has had the responsibilities and understands the duties of supervisors and registered employees. A Securities Expert can assist with helping you meet your regulatory & SRO obligations, or identifying a fraudulent activity.