Securities & Investments Expert Witness
I am often retained as an expert witness and for case analysis in securities and investments litigation, whether before a FINRA arbitration panel or in state court, federal court, or even internationally. A background as an investment analyst and portfolio manager, as well as having earned the CFA (Chartered Financial Analyst) designation, makes me uniquely well-suited for many cases. In addition, I teach a university course in investments ethics and standards of practice, and I am also a member of the exam author team for the U.S. Series 63, 65, and 66 securities licenses.
Applicable case matters include: suitability of investments, breach of fiduciary duty, standards of practice, professional conduct, failure to supervise, failure to execute orders, conflicts of interest, breach of contract, excessive trading (churning), securities fraud, accounting fraud, insider trading, negligence, asset selection, asset allocation, and more.
Please feel free to call me to discuss an applicable case. My phone number and more information can be found on the W. McGinnis Advisors website.
