With all securities licenses active, and having a present compliance position with a FINRA broker dealer along with being a FINRA Arbitrator, MY SERVICES INCLUDE:
Consulting Securities Expert Witness in both Court and Arbitration
Securities Arbitration/Litigation Case Review and Evaluation
Thorough Analysis of Due Diligence Performed on Products sold
Evaluation of Portfolio Risk Factors (Scorecard Analysis)
Assessment of Sales Practices Utilized (Standards of Care)
Analysis of Supervision Performed (R.R.’s and RIA’s)
Discovery Review and Recommendations
Forensic Accounting Reports
Specialized Analysis (Concentration – Modern Portfolio Theory)
High Impact Demonstrative Exhibits
Damage Calculations Utilizing Well Managed Account Theory
Persuasive Expert Testimony Before All Triers of Fact
