FINRA

 

Focus on Forensic provides expert witness services to the arbitration/mediation process found in the FINRA regulatory body.  I have been retained by broker/dealers and investors in the FINRA process.  My role was to review the financial documents in dispute and provide an expert opinion based on FINRA rules and regulations.  FINRA matters have involved churning, improper qualification assessment, broker disputes with dealer and other matters involving fees.

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