Agent and Broker Standards Expert Witnesses

agent and broker standards expert testimony

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Agent and Broker Standards Expert Witness - Representative Bios

Please Note: All Cahn Litigation expert witness searches are customized to attorneys' precise specifications and preferences. Attorneys are encouraged to discuss search parameters with a Cahn search specialist.

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The below expert witness bios represent a small fraction of those Agent and Broker Standards experts known by Cahn Litigation Services. These bios are provided to give lawyers a sense of the Agent and Broker Standards landscape.

Expert Witness #248578

This expert is a Certified Regulatory Compliance Professional and brings many years of securities industry expertise to the table. This expert's career includes serving as Chief Compliance Officer of public and private financial services institutions, managing and directing the AML, compliance, controls and risks of various businesses in the financial services industry and years of sales and management in other retail businesses. This expert held Municipal Principal responsibilities at financial services and supervised options business at financial services institutions as either Senior Registered Option Principal or Compliance Registered Option Principal. This expert served on the FINRA Committee that created the Operations Professional Series 99 and is a frequent panelist and facilitator at industry conferences and regional and national meetings. This expert is well-prepared to serve as an expert witness for financial services institutions from testifying as the company representative for three financial services institutions in 15 arbitrations. To remain prepared for paid board service this expert is trained in SOX requirements.

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Expert Witness #262346

This expert brings to the table many years of strategic, regulatory, supervisory & compliance experience in the financial services industry. This expert heads a highly successful comprehensive compliance firm. This expert holds FINRA Series 4, 7, 14A, 24, 63 and NFA Series 3, 34 current licenses.

This expert has been:

-  an in-house Chief Compliance Officer for broker-dealers and investment advisors
-  a former regulator with a Board Options Exchange, including Director of Market Regulation
-  SEC enforcement trained
-  well versed on the requirements of why and when registration is required
-  An experienced liaison with all U.S. regulators and exchanges
-  a qualified examiner for annual independent AML audits, main office and branch exams and for submission of new or amended registration applications to FINRA, SEC or the NFA or CFTC or to address regulatory deficiencies, inquiries or undertakings.

This expert has been a member of an Ethics & Business Conduct Committee for many years and has been a member or a Chairperson for hearings of various matters. This expert served as a witness for at least 20 Arbitration Cases + close to 250 cases where charges were issued for a variety of fraud and misrepresentation cases. Since then, this expert has been the internal witness for numerous fraud related cases, including a FINRA Case which involved unsuitable trading. This expert served for a complex case representing a broker-dealer accused of unsuitable and false-misleading representation.

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Expert Witness #262355

Having served as Chief Compliance Officer of a full-service broker-dealer for many years with responsibilities for investment banking and merger and acquisitions compliance and oversight, this expert has the expertise with respect to best practices/duties and responsibilities/obligations of a registered broker dealer.

This expert heads a highly successful and sought-after compliance and regulatory consultancy specializing in matters relating to the broker-dealer and investment adviser community.

This expert has held the following Securities Licenses:

-  Series 24 - General Securities Principal
-  Series 14 - Compliance Official Examination
-  Series 8 - General Securities Sales Supervisor Examination
-  Series 7 - General Securities Representative Examination
-  Series 63 - Uniform Securities Agent State Law Examination Series
-  65 - Uniform Investment Advisor Agent Law Examination
-  Manager - Financial Services Authority

This expert has served as:

-  a speaker and lecturer for numerous conferences and events for the SEC, NYSE, NASD, NASAA, SIA, SIFMA, and other events sponsored by industry and regulatory organizations on multiple topics dealing with Compliance
-  a member of the Securities Industry & Financial Markets Association (SIFMA) Compliance & Legal Division Executive Committee
-  a member of a Board Options Exchange Compliance Advisory Panel
-  a member of a Business Conduct Committee
-  a member of the New York Stock Exchange (NYSE) Compliance Advisory Committee

This expert has been engaged as an expert witness on more than 120 matters encompassing a full range of issues relating to the customs and practices, duties, responsibilities, and obligations of a registered broker dealer. This expert has testified at hearings or in deposition in more than 40 cases in federal courts, state courts, FINRA Office of Hearing Officer proceedings, American Arbitration Association Commercial Arbitration proceedings, and FINRA Arbitration proceedings.

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Expert Witness #262367

This expert is a nationally renowned insurance and securities expert. This expert has been the Chief Compliance Officer of an independently owned national broker/dealer and has held senior management positions in the securities industry for many years.

This expert has taught, consulted, and provided expert testimony on the suitability of insurance products and securities, sales practices, duties of brokers and firms, and adequacy of supervisory systems and due diligence. This expert has been retained in over 500 matters involving securities and has testified extensively as an expert in State and Federal courts and FINRA arbitrations including matters dealing with Broker/Dealer and RIA Compliance, Duties of Brokers, Advisors, and Institutions, Due Diligence, and other topics. This expert frequently lectures on the subject of industry standards and norms, and regulation in both the insurance and securities industries.

This expert provides consulting and expert services to claimants, respondents, financial institutions, state and federal regulators. This expert has been quoted in various industry publications.

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Expert Witness #257481

This expert is the founder and principal owner of a financial consulting company focusing on alternative products, compliance support, Broker/Dealer responsibilities, anti-money laundering, and securities processing. This expert has performed as an expert witness in matters dealing with due diligence, and financial advisor heightened supervision. This expert is an expert in hedge funds and is comfortable opining on Class 3 Illiquid Assets.

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Expert Witness #260857

This expert is a Professor of Chemistry. This expert is a member of the North American Thermal Analysis Society, and was named a NATAS Fellow.

This expert has published more than 200 peer-reviewed papers, with the majority related to coal combustion and emissions, and materials characterization. This expert has pioneered work in the area of clean coal technology, emission control, and thermal analysis involving effluent gas analysis and has used the TG/FTIR/MS technique extensively in the study of many different types of materials. This expert has been the project director of more than 70 projects supported by external agencies, including USNSF, the U.S. DOD, the US DOE, NASA, US EPA, USDA, EPRI, Clean Coal Institute, and several private industries.

An Institute founded by this expert has worked with over 150 existing coal-fired power plants in the US to address their mercury problems. As a result of these projects, one utility patent application for abatement of mercury in flue gas was awarded. This expert also is working on the development of sorbents to control mercury in the boiler.

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