ForensisGroup FINRA (Financial Industry Regulatory Authority) Expert Witnesses have years of comprehensive financial advisory experience. They specialize in matters related to investment management by fiduciaries, trustees, personal representatives, and financial consultants, as well as adherence to SEC / FINRA standards of conduct for broker-dealers, registered investment advisors, and their representatives.
Our experts have expertise that includes an emphasis on investment analysis and decision-making processes, modern portfolio theory, asset allocation, diversification, risk control, as well as fiduciary standards, and investment and spending policies.
They train financial consultants to capture new trust assets and retain existing client trust assets with their accompanying revenue stream, develop strategic marketing planning for promotion of trusts, review of all accounts for compliance with FINRA rules.
These experts are FINRA/NASDCRCP Certified Regulatory Compliance Professionals, NASD General Securities Principals, and SEC RIA Registered Investment Advisors. Many are also certified financial planners, certified divorce financial analysts, certified investment analysts, and certified life and long-term care insurance advisors.
Many have their Series 7 (General Securities License), Series 24 (Registered Principal), and Series 63 (state) certifications.
If our selection doesn’t include the FINRA expert witness you’re looking for, please contact us. We will assist you in locating the right expert for your case, and provide you with an initial case consultation at no cost. And because our experts don’t pay a fee to be listed, we can recruit only the most trusted and credible experts based on a rigorous screening process. Contact us to learn more and retain a highly-qualified FINRA expert for your case.