Financial Industry Expert Witness
Product and Business DevelopmentStrategist
Successful legal and business development outcomes in the financial industry often hinge on the accurate, dependable expertise provided by highly qualified attorneys. That’s why BD’s, financial product developers and RIAs have been turning to Intersource Consulting Group for litigation consulting services. Our unique combination of skills and extensive 30-year background as a JD, CFP® and former FINRA Examiner provide the credentialed knowledge needed to resolve securities disputes in my client’s favor or launch pioneering, profitable ventures like the 529 Plan leader, UPromise Investments, currently Ascensus College Savings.
• Intersource Consulting Group has served as an expert witness and litigation consultant across a range of securities and financial law issues involving investors, financial advisors, RIA principals, investment companies and others. Our team of independent associates is available when other securities-related expertise is required.
• Dispute Resolution More than 15 years of securities arbitration experience; have comprehensive understanding of all substantive and procedural requirements required for submission and adjudication of an arbitration claim through FINRA Dispute Resolution.
• Proven Arbitrator Have served on numerous arbitration panels; authored awards and adjudicated disputes related to: Suitability Determinations and Account Churning; Discretionary Authority; Failure to Supervise; Employment Compensation; Slander on Form U- 5; Promissory Notes; Contracts; Commissions; Clearing and Settlement and more.
• Regulatory Expert As a former FINRA examiner (13 years), attained deep understanding of marketplace and regulatory issues leading to business disputes and disciplinary procedures.
• Team Leader we can serve as the legal head responsible to executive teams, investment advisers and transfer agents who are looking to build their broker-dealer capabilities.
• Senior Business Strategist Whether the focus is strategy formulation or regulatory compliance management, my new business skills have led to significant asset growth for successful ventures, such as the pioneering launch of the 529 college savings organization (UPromise) that resulted in growth of $40 billion in Assets under Administration.