FINRA Expert Witnesses in Minnesota
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FINRA / Securities Litigation Consultant Expert Witness
Minnesota
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...
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FINRA Expert Witness FAQs
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.
A FINRA expert witness handles cases related to securities fraud, broker misconduct, investment disputes, regulatory compliance, and other financial industry-related issues.
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.
Yes, some FINRA experts specialize in areas like securities arbitration, broker-dealer regulation, investment suitability, or market manipulation among others.
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.
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