Retirement plan expert witnesses analyze the design, administration, and performance of 401(k), pension, and other qualified plans. Drawing on backgrounds in actuarial science, fiduciary consulting, and plan administration, they assess ERISA compliance, fee structures, investment options, disclosures, and recordkeeping to clarify whether plans meet industry standards.
Wealth Management & Brokerage Supervision Expert Witness
Wealth Management & Brokerage Supervision Expert Witness
- Review Fee
- $300/hr
This expert was a financial advisor for seven years and a supervisor of financial advisors for twelve years. As a supervisor he served as a sales manager, office manager, regional sales manager, and complex director. He managed over a thousand different advisors in different capacities over his time at Merrill Lynch. He held series 7, 9, 10, 63, 65 and insurance licenses in his capacity as supervisor. During his career he has testified in courtroom, deposition, arbitration, and mediation situations. He has dealt with regulators, attorneys, clients, judges, mediators, and advisors in all of these situations. This expert has a BA in Political Science and an MBA with a marketing concentration, both from Vanderbilt University.
President, A financial advisor consultancy
Master of Business Administration (MBA), Vanderbilt University
Montgomery,
Alabama