FINRA EXPERT WITNESS CASE STUDIES

Financial Expert Advises on Breach of Fiduciary Duty by Private Wealth Manager FINRA Expert Case

This case involves a Plaintiff who suffered significant equity losses while working with a private wealth manager. The Defendant provided investment advice, financial planning and other consulting services to investors. The plaintiff initially established  …

Financial Advisor Allegedly Violates FINRA Rules FINRA Expert Case

Financial Advisor Allegedly Violates FINRA Rules

This case takes place in New York and involves an individual who bought a variety of financial products through through the defendant. They never bought or invested in an individual stock, and had explicitly instructed the defendant as to their desire to  …

Broker-Dealer Breaches Contract With Investment Firm FINRA Expert Case

Broker-Dealer Breaches Contract With Investment Firm

This case takes place in Wisconsin and involves the loss of commissions due to an indirect purchase of a small independent broker. The plaintiff is a capital market investment firm that deals primarily with public school districts, offering public employee …