Found 30 broker compliance Experts and Expert Witnesses.
|
 |
|
|
| EW #2720 has over 33 years securities industry experience. Suitability, due diligence and disclosure issues, selling away, fiduciary responsibilities, standard of care, fraud, partnerships, supervision and compliance and damage calculations....
|
|
|
|
| Extensive background with Merrill Lynch; compliance experience, arbitration experience with knowledge of securities, annuities, arbitration, and much more.
|
|
|
|
| 40+ years experience in investments, stocks, options, derivatives, mutual funds and securities.
|
|
|
|
| 44 years experience in securities investments.
|
|
|
|
| Michael H. Samson is a customs broker consultant. His services include: audit and review of operations.
|
|
|
|
| Forensic Finance
Investments/Securities
|
|
|
|
| Expert Witness and Litigation Services are a major focus of MCS Associates, a nationally recognized consulting group that has provided management, operational and regulatory consulting services to financial institutions, insurance companies and regulatory agencies as well as real-estate and financial services organizations nationwide for over 30 years. We perform expert witness assignments throughout the United States and the firm’s clients include several hundred leading law firms around the...
|
|
|
|
| Attorney, broker and instructor with nearly 20 years of experience.
|
|
|
|
| Consultant and Expert Witness in matters relating to Securities Industry issues, especially in the area of Compliance.
|
|
|
|
| Former Principal and Compliance officer; Arbitration panel member, chair, and witness; former Chair NASD District 3 DBCC; Investigative, Analytical, and Writing skills. P&L Analysis/Illustrations.
|
|
|
|
| Mortgage Broker and Banker
Mortgage loan processing
Mortgage Technology
|
|
|
|
| A former Chief Compliance Officer and an Expert in Canadian Securities Industry litigation, arbitration and disputes. Services include litigation support, expert reports and numbers arbitration.
|
|
|
|
| EW #1195 Licensed Customs Broker, C.E.O. of two international businesses
|
|
|
|
| 30 years expertise in most facets of investor / broker relations, specialized expertise in derivative instruments - options, commodities, futures, clearance procedures, and margin call policies.
|
|
|
|
| Mr. Onefater has worked in the investment management industry his entire career in various roles including as a Chief Executive Officer, Chief Financial Officer and a Chief Operating Officer for a $19 billion investment management firm, and as a National Hedge Fund Director and Partner of a “Big” 4 Professional Services Firm in New York. He was also the Chairman of the Board of a proprietary mutual fund family.
Mr. Onefater and Constellation Investment Consulting Corp. consults prima...
|
|
|
|
| 38+ yrs financial & mortgage institutions. 17+ yrs Pres/CEO/director. 6+ yrs mortgage co. dir. 34+ yr lending & ops. 175+ nationwide Fed, state cases: reports, affidavits, depos, court testimonies.
|
|
|
|
| Expert witness testimony involving investment advice and investment transactions in relation to judicial review proceedings and professional indemnity claims.
|
|
|
|
| EW #1336 is the author of more than 20 best-selling books on stocks and investing, and he specializes in broker-client relationships, securities, corporate financial analysis, and related investment issues....
|
|
|
|
| CPCU with 30 years experience as underwriter, broker, consultant and expert witness. Specializes in industry custom and practice and insurance agents standard of care.
|
|
|
|
| Over 20 years in financial services with an emphasis on Broker/Dealer sales force recruitment and management. Extensive deposition experience.
|
|
|
|
| A securities consultant and expert witness working for both claimants and the brokerage industry
|
|
|
|
| Securities, Futures, Derivatives Expert Witnesses. 20+ yrs as consultants in investment and trading litigation. Broker/customer disputes-stocks and bonds, options, commodity futures, currency trading.
|
|
|
|
| Dangerous Goods Transportation Training & Consulting. Worked on more than 135 cases - provided expert witness testimony, depositions, opinions including Grand Jury testimony.
|
|
|
|
| Dangerous Goods Transportation Training & Consulting. Worked on more than 135 cases - provided expert witness testimony, depositions, opinions including Grand Jury testimony.
|
|
|
|
| 30 Yr. Water Utility Construction, Operation, and Maintenance.
Additional general construction management and claims experience.
Professional Engineer with Masters in Business Administration.
|
|
|
|
| Ian has had over 15 years experience as a forensic fire and risk specialist. Ian has extensive experience in fire cause and origin investigation, risk modelling and building construction.
|
|
|
|
| 40 years combined Securities Industry Experience, Litigation Consulting, Expert Witness Testimony, critical Initial Account Analysis,Comprehensive Damage Analysis; Fraud, Supervision...
|
|
|
|
| I have led the implementation of International Accounting Standards since 1999 on behalf of USAID and the Asian Development Bank
|
|
|
|
| EW #3115 is an Attorney, broker and instructor with nearly 20 years of experience as a real estate broker and general counsel.
|
|
|
|
| Looking for a broker compliance expert?
|
|
|
Find Broker Compliance experts and consultants for Broker Compliance litigation support at www.expertwitness.com. Available to be Broker Compliance expert witnesses and provide Broker Compliance forensic consulting in Broker Compliance litigation, in addition prepare Broker Compliance expert witness reports for use in deposition and/or in-court trial testimony.
|
Categories To Find "Broker Compliance" Experts:
|
BANK COMPLIANCE |
|
Compliance requirements are a series of directives established by United States federal government agencies that summarize hundreds of federal laws and regulations applicable to Federal assistance.
Bank regulations are a form of government regulation which subject banks to certain requirements, restrictions and guidelines, aiming to uphold the soundness and integrity of the financial system.
A bank is an institution that provides financial service, particularly taking deposits and extending credit.
|
BANKING |
|
A bank is an institution that provides financial service, particularly taking deposits and extending credit.
|
BANKING REGULATION |
|
Bank regulations are a form of government regulation which subject banks to certain requirements, restrictions and guidelines, aiming to uphold the soundness and integrity of the financial system.
A bank is an institution that provides financial service, particularly taking deposits and extending credit.
|
CHECK KITING |
|
Check kiting is any sort of fraud that involves drawing out money from a bank account that does not have sufficient funds to cover the check. It is typically achieved by taking advantage of the float, the time between the negotiation of the check and its clearance at the check-writer's bank. This fraud is also known as paper hanging and carries a heavier pejorative connotation. Before the passage of the Check Clearing for the 21st Century Act, when checks could take 3 or more days to clear, playing the float was fairly common practice in otherwise-honest low-income families who encountered emergencies right before payday.
|
CONSUMER MARKETING |
|
Find CONSUMER MARKETING experts and consultants for CONSUMER MARKETING litigation support. Available to be CONSUMER MARKETING expert witnesses and provide CONSUMER MARKETING forensic consulting in CONSUMER MARKETING litigation, in addition prepare CONSUMER MARKETING expert witness reports for use in deposition and/or in-court trial testimony.
|
INSURANCE - GENERAL |
|
General insurance policies, including automobile and homeowners policies, provide payments depending on the loss from a particular financial event. General insurance typically comprises any insurance that is not determined to be life insurance, and is called property and casualty insurance in the U.S..
In the UK, General insurance is broadly divided into three areas; personal lines, commercial lines and London market.
The London market insures with large commercial risks, for example insuring supermarkets, football players and other very specific risks.
Commercial lines products are usually designed for relatively small legal entities. These would include workers comp (employers liability), public liability, product liability, commercial fleet and other general insurance products sold in a relatively standard fashion to many organisations.
Personal lines products are designed to be sold in large quantities. This would include autos (private car), homeowners (household), pet insurance, creditor insurance and others.
|
LEAD |
|
Lead is a chemical element in the periodic table that has the symbol Pb (L. plumbum) and atomic number 82. A soft, heavy, toxic and malleable poor metal, lead is bluish white when freshly cut but tarnishes to dull gray when exposed to air. Lead is used in building construction, lead-acid batteries, bullets and shot, and is part of solder, pewter, and fusible alloys. Lead has the highest atomic number of all stable elements. (But see the article on Bismuth, which has a half life so long it can be considered stable.)
|
MERGERS / ACQUISITIONS |
|
The phrase mergers and acquisitions or M&A refers to the aspect of corporate finance strategy and management dealing with the merging and acquiring of different companies as well as other assets. Usually mergers occur in a friendly setting where executives from the respective companies participate in a due diligence process to ensure a successful combination of all parts.
|
REAL ESTATE |
|
Real estate or immovable property is a legal term (in some jurisdictions) that encompasses land along with anything permanently affixed to the land, such as buildings. Real estate (immovable property) is often considered synonymous with real property (also sometimes called realty), in contrast with personal property (also sometimes called chattel or personalty).
|
|
Still can't find the expert you want?
|
Try using a broader keyword search or browse our Category Directory.
|
|
Broker Compliance Experts Witnesses - Broker Compliance Forensic Consultants.
Find Broker Compliance experts and consultants for Broker Compliance litigation support. Available to be Broker Compliance expert witnesses and provide Broker Compliance forensic consulting in Broker Compliance litigation, in addition prepare Broker Compliance expert witness reports for use in deposition and/or in-court trial testimony.
Locate Experts who understand your problem and can help you with
Broker Compliance
|
|
