Minnesota investment expert witnesses analyze portfolio management, fiduciary conduct, and securities practices for disputes involving individuals and institutions. They often come from Twin Cities wealth management firms, regional banks, and compliance teams serving Minnesota’s strong retirement and insurance markets. Their opinions commonly address suitability, risk controls, valuation, trading records, and damages calculations.
FINRA Securities Litigation and Compliance Expert Witness
FINRA Securities Litigation and Compliance Expert Witness
- Review Fee
- $500/hr
- Deposition Fee
- $600/hr
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