Hiring a Securities Expert or Consultant is an important decision, you have options.  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 identify areas that are obligations owed to clients, versus disclosure duties of clients.  Or you may need an expert to provide an opinion and explain the forensic dynamics of a situation via testimony.  In either case, it helps to have someone with testimony experience who has met those 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.

What to expect when you hire a securities expert and commonly asked questions:

All Services are contracted.

Contracts are entered into after careful communication and agreement on the area of assistance you need.  It will provide that all services provided will be CONFIDENTIAL and will identify the tasks and time frame per your needs.  Most services will be billed on an hourly basis, although there are situations such as audits, and research that can be contracted for a flat fee.  Estimates are available.

How is information exchanged?

First, do NOT try to send confidential or personal information via the "Contact Us" form.  Next, we will agree to a method of exchange only after we've had a discussion and identified your basic needs.  Generally reviews of documents and specific advise will require a contract prior to moving forward.  Although prior to signing a contract there has to be an exchange of a minimum amount of information so we can understand how to help.

How is payment made?

A retainer is due at time of contract.  Payments may be made by check or  Paypal.  Payments are overdue within 10 working days from submission of an invoice.

If you need more information or have questions, please use the CONTACT form .