South Dakota investment expert witnesses analyze portfolio management, securities valuation, and advisor conduct for disputes involving investors and institutions. They often come from regional banks, registered investment advisers, and trust departments serving Sioux Falls’ financial sector and agricultural wealth planning across the state. Their opinions commonly address suitability, fiduciary duties, damages, and compliance with FINRA and SEC standards.
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