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FINRA / Securities Litigation Consultant Expert Witness
FINRA / Securities Litigation Consultant Expert Witness
Financial Advisor, American Capital Financial Services
(***)***-****
Minnesota
Comprehensive expert on expert witnesses: Access detailed litigation history and performance metrics.
Expert Qualifications
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.
Fee Data
$500/hr
Review Fee
$600/hr
Deposition Fee
Court Fee
Disclaimer - These hourly rates reflect the most recent fees we have on record for this expert. Please note that these fees are subject to change, and we recommend verifying the current rates before engaging the expert.
Litigation History
80
Case Reviews
12
Testimonies
6
Depositions
Work History
Status | Job Title/Role | Department/Division | Organization |
|---|---|---|---|
Current | FINRA Dispute Resolution Arbitrator | — | A capital management group in MN |
Current | President and CEO | — | A capital management group in MN |
Former | Branch Manager | — | TD Ameritrade |
Former | Branch Manager | — | Raymond James Financial Services |
Former | Vice President | Investments | Shearson Lehman Brothers/American Express |
Former | Financial Advisor | — | American Capital Financial Services |
Licenses & Certifications
Name | Issuing Organization | State |
|---|---|---|
Life Underwriter Training Fellow | The American College of Financial Services | — |
Arbitration and Mediation | Hamline Law School | — |
FINRA Dispute Resolution Arbitrator | — | — |
Fraud Examiner | — | — |
Memberships
Position | Membership Organization |
|---|---|
Member | Association of Certified Fraud Examiners |
Member | Regulatory Compliance Associate |
Member | Securities Industry and Financial Markets Association |
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