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.
This expert analyzes securities and insurance cases relating to FINRA registered Broker Dealers, Registered Investment Advisers (RIA), and Investment Adviser Representatives (IAR), insurance companies, Field Marketing Organizations (FMO), and insurance producers. Once an exhaustive analysis of the case material has been examined, findings and opinions will be objective and unbiased. Testimony and reports are supported by extensive and detailed research and opinions based upon years of industry experience.
This expert provides Securities and Insurance Expert Witness and Litigation Support consulting serving both claimants and respondents in FINRA arbitration, mediation and court settings.