FINRA Expert Witnesses in Minnesota
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FINRA / Securities Litigation Consultant Expert Witness
This expert is the President and Chief Compliance Officer of a Registered Investment Advisory firm that he established in the 1980s. His credentials are numerous including being an Accredited Investment Fiduciary (AIF), Certified Fraud Examiner (CFE), Life Underwriter Training Council Fellow (LUTCF), and recognized by the Minnesota Supreme Court as a Qualified Neutral under Minnesota Rule 114 of Standard Practice in Mediation and Arbitration. He was formerly a Registered Securities Principal with nationally recognized FINRA Registered Broker Dealers and held numerous securities licenses and registrations. He proudly serves as a FINRA and NFA Dispute Resolution Arbitrator.
FINRA Dispute Resolution Arbitrator, A capital management group in MN
Bloomington,
Minnesota
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FAQs for Finra Expert Witnesses
What is a FINRA expert witness?
A FINRA expert witness is a professional with extensive knowledge and experience in the Financial Industry Regulatory Authority's rules and regulations. They provide testimony in legal cases involving securities and financial disputes.
What types of cases does a FINRA expert witness handle?
A FINRA expert witness handles cases related to securities fraud, broker misconduct, investment disputes, regulatory compliance, and other financial industry-related issues.
How can a FINRA expert witness assist in my case?
A FINRA expert witness can analyze complex financial data, assess compliance with FINRA regulations, provide insight on industry standards, and offer credible testimony to support your case.
Are there subspecialties within the field of FINRA expert witnesses?
Yes, some FINRA experts specialize in areas like securities arbitration, broker-dealer regulation, investment suitability, or market manipulation among others.
Why is it important to hire a FINRA expert witness with specific experience in securities arbitration?
Securities arbitration is a complex process with its own set of rules. An expert with specific experience can provide valuable insights and strengthen your position in such cases.
How does Expert Institute select its FINRA expert witnesses?
Expert Institute offers a personalized approach to help you find the highest quality experts. We source actively-practicing professionals who match all your requirements for specialty areas, work experience, litigation history, fee range, certifications, location, and more.