Expert Witness Services

Most securities disputes turn on a standard nobody in the room can state precisely: what a reasonable broker-dealer, supervisor or adviser would have done. Rules and manuals set the floor. Industry practice fills the rest, and it is rarely written down anywhere a panel can read it.

The firm provides expert support and testimony on that question — evaluating claims and defenses, reviewing industry practice against regulatory requirements, analyzing the documents, and testifying where a matter goes that far. Engagements come from both sides. The analysis does not change depending on who is paying for it, which is the only basis on which this work is worth having. Because the firm also represents broker-dealers, advisers and issuers, every expert engagement is checked for conflicts against the firm’s clients before any substantive discussion.

The underlying qualification is operational rather than academic: running a FINRA member firm as chief executive and chief compliance officer, writing supervisory systems, and serving as general counsel and chief operating officer to issuers. Testimony about what a supervisor should have done carries differently from someone who has been the supervisor.