FINRA Expert Witnesses in New York
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FINRA Experts in New York
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Fiduciary Duty & Retirement Plans Expert Witness
This highly-qualified expert has extensive experience in the finance industry, with his work focusing on ERISA, fiduciary duty, FINRA and suitability, retirement plans, financial technology, and wealth management. He earned his BS in economics with concentrations in international business and money, banking, and finance from the State University of New York at Fredonia. He is a chartered retirement planning coordinator and has previously held Series 7, 31, 63, and 65 licenses. He is active in his field as a frequently published author of finance articles. He has formerly served as a private banker at Bank Leumi USA, the director of the institutional brokerage group at Fidelity Investments/NFS, the vice president of personal financial services at Chase Bank, a financial advisor for global private clients for Merrill Lynch, vice president for JP Morgan Securities, and the vice president of Clark Dodge Asset Management. Currently, this expert serves as the managing member and project manager for a fiduciary consulting firm in New York.
Managing Member & Project Manager, A Fiduciary Consulting Firm in NY
Bachelor of Science (BS), State University of New York at Fredonia
New York,
New York
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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.