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Fraud Expert Witnesses

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Steven G. Roberts
CPA/CFF, CFE, CCI, CGMA, FCPA
Sammamish WA 98074
USA
phone: 425-868-3330 ext.151
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Steven Roberts Forensic Accounting Expert PhotoSince 1987, Steven G. Roberts, CPA, CFF, CFE, CCI, CGMA, FCPA, has focused exclusively on Valuation, Economic Analysis, Economic Loss Measurement, Forensic Accounting, and Fraud Examination. His assignments regularly include expert report and exhibit preparation, and deposition and courtroom testimony. Other of his engagements include arbitration, mediation and appraisal testimony.

Mr. Roberts has also been retained directly by the court as a Special Master relative to economic loss measurement and forensic accounting issues. He is a Certified Public Accountant, Certified Fraud Examiner and Forensic Certified Public Accountant. He is also certified by the AICPA in Financial Forensics, is a Certified Criminal Investigator, and is a member of the Academy of Court Appointed Special Masters. Over the past 29 years, Mr. Roberts has been directly responsible for designing, implementing and managing more than 2,000 engagements involving billions of dollars.

He has managed economic loss and valuation engagements in Alaska, Europe, across North America, in Mexico, and throughout the Gulf and Pacific Rim. He is a speaker, lecturer and author of courses and articles on economic damage measurement principles, forensic accounting issues and independent expert practices. Mr. Roberts is the principal and founder of Veritas Forensic Accounting and Economics.

Areas of Expertise:

  • Breach of Contract
  • Breach of Fiduciary Duty
  • Business Interruption
  • Business Dissolution
  • Economic Viability
  • Class Actions
  • Bellwether Plaintiffs
  • Construction Defect Issues
  • Construction Delay, Cost Overrun
  • Builder's Risk Policies
  • Employee Dishonesty
  • Receivership
  • Bankruptcy
  • Fraud
  • Insurance Loss
  • Inventory Loss
  • Property Damage
  • Intellectual Property
  • Partner Disputes
  • Personal Injury
  • Wrongful Death
  • Product Liability
  • Securities Damages
  • Wrongful Termination


  • View Steven Roberts' Consulting Profile.
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    Richard T. Picciochi
    Forensic Document Examiner
    110 Jericho Turnpike, Suite 104A
    Floral Park NY 11001
    USA
    phone: (516) 326-1122
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    Richard T. Picciochi is a Questioned Document Examiner with over thirty years of experience in the New York City Police Department Crime Laboratory and in private practice. He is retired from the NYPD Forensic Investigation Division where he was a Detective, Document Examiner and the Technical Supervisor of the Questioned Document Unit. In the course of his career he has examined thousands of disputed signature, handwriting and document cases, participated in numerous high profile investigations and testified in trials including the "Zodiac" homicides and the first terrorist attack on the World Trade Center in New York City.

    Mr. Picciochi possesses a background that integrates the academic sciences, applied forensic sciences and law enforcement investigations. He has earned a Master of Science degree in Forensic Science and has received extensive specialized training in questioned document analysis by the NYPD, the FBI and the United States Secret Service. Mr. Picciochi is a Diplomate of the American Board of Forensic Document Examiners (ABFDE) and was awarded certification upon completion of comprehensive written, practical and oral examinations. He is also a member of the American Academy of Forensic Sciences and the International Association for Identification.

    Mr. Picciochi specializes in the examination of signatures, handwriting and other document problems. He can provide on-site inspections, comprehensive written reports, demonstrative exhibits and expert testimony. Mr. Picciochi will accept civil, criminal and administrative cases and offers his services to both Plaintiff and Defense attorneys.
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    Dr. Andrew Mark Rodgers
    Chiropractic Physician
    530 Main Street, Suite 2
    Fort Lee NJ 07024
    USA
    phone: 877-592-1192 or Cell: 201-394-6662
    fax: 201-592-6401
    Dr. Andrew Mark Rodgers, BS, MS, DC, is a National Certifed Chiropractic Expert Witness with over 38 years of experience. He has worked on over 60 malpractice cases on the proper standard of care and has recently testified in 4 cases in the last 10 years. Dr. Rodgers is available for complimentary verbal evaluations, offers expedient affidavits and cost effective testimonies and depositions for chiropractic deviation from standard of care cases nationwide. He represents both Defendant and Plaintiff.

    Areas of Expertise
  • Malpractice cases – proving standard of care and deviations
  • Administrative law, state laws and honest medical protocols and billing procedures
  • Plaintiff/defendant expert witness testimony in trauma cases, motor vehicle cases, workers comp cases and / or slip and fall injuries
  • Insurance fraud
  • Continues very active clinical practice
  • 6/14/2012 · Medical
    There is a standard of care to be followed that dictates the caution that must be exercised when administering medical spinal manipulation. The medical spinal manipulation can be chiropractic, osteopathic or rendered by other medical or non-medical persons all potentially ending in disastrous results.

    4/12/2012 · Medical
    Chiropractors are not the only physicians performing cervical spinal manipulative treatment. Actually, non-professionals, layman, and sports travelers are performing spinal manipulative treatment (SMT). Some people do it to themselves.

    11/12/2011 · Medical
    Stretch your Hamstrings - Lay on your back, thirty times a day in three sets of ten repetitions. Start before getting out of bed, leg straight, circles with your foot.

    12/17/2010 · Medical
    If you’re going to correct subluxations by manual manipulation you should check the integrity of the structures involved and any other co-morbidities, medications, surgeries, etc.

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    Tiffany R. Couch, CPA/CFF, CFE
    Principal / CEO
    1603 Officers Row
    Vancouver WA 98661
    USA
    phone: 360-573-5158
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    Tiffany Couch Forensic Accounting Expert PhotoTiffany Couch is Principal at Acuity Forensics, a Pacific Northwest forensic accounting firm with a national presence. She has more than 20 years of experience in the field of accounting with the last 13 years focused completely on forensic accounting related engagements. Her expertise is in matters involving fraud investigation, forensic accounting, contract and regulatory compliance, internal control risk assessment, and complex litigation. Professional background and experience includes audit, tax, and business consulting services for government entities and privately held business entities in a range of industries. Ms. Couch is a faculty member for the Association of Certified Fraud Examiners, a nationally recognized speaker on the topic of fraud and forensic accounting, and the author of the book, The Thief in Your Company.

    Litigation Support - Tiffany R. Couch has conducted dozens of financial investigations, managed cases involving tens of thousands of documents, and has testified in state and federal jurisdictions. She has worked with local, state, and federal officials to support their work (or provide a resource) in several significant embezzlement cases, and has provided support as a defense expert, as well. Services include legal accounting assessments, subject matter expertise, or financial records review to either build or negate a case.

    Areas of Expertise:
    • Contract Disputes
    • Fraud Investigation
    • Estate and Trust Disputes
    • Marital and Business Separations
    • Damages Calculations
    View Acuity Forensics' Consulting Profile.
    1/29/2018 · Accounting
    "How could you?!" - not an uncommon thing for me to hear among other professionals in the business of fighting fraud when I tell them I work criminal defense cases. Admittedly, I struggled with the same issue the first time I was called by a defense attorney back in 2008. His client had been accused by a publicly traded company of stealing more than $5M in a sophisticated cash receipt theft scheme.

    1/8/2018 · Accounting
    A married couple, who owned a business in a small town, called me to investigate some curious items found on their company's bank statements. There was a DISH Network bill being paid through their account, but they didn't have DISH Network as their cable TV provider. When they called the company to ask whose account it was, they were given the name of their bookkeeper. They dug a little deeper into the bank statements and noticed that each month there was a Verizon Wireless bill being paid by them, even though they both used AT&T. Finally, they confronted their beloved bookkeeper, Sienna. A woman in her mid-twenties, Sienna had worked for them since graduating high school, eventually working her way up in the Company to managing the office. Sienna reacted the same way most fraudsters do when they are initially caught, she lied and said that she didn't know anything about it. When pushed, she explained that it was an accident and apologized for the oversight.

    Tiffany Couch
    This book will educate you and entertain you, pull at your heart strings, and convince you to put her time-tested security blueprint into practice. All types and sizes of organizations will learn how to: * Be familiar with and protect against the most common fraud schemes * Recognize who the typical fraudsters are * Leave the door open for whistleblowers to report suspicious activity * Take specific actionable steps if fraudulent activity is discovered * Understand the emotional impacts of financial crimes
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    Dr. Lewis R. Linet, Jr.
    19355 Sherman Way #22
    Reseda CA 91335
    USA
    phone: 818 772-6464
    fax: 818-772-6464
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    Expert Witness and Case Preparation Services provided for litigation involving Automobile Industry Standards & Practices, specializing in Dealership Operation, relating to Sales, Leasing, Finance, New & Used Cars, Service & Parts. Auto Industry Veteran Since 1978.

    Issues:
  • Fraud
  • Unfair Business Practices
  • Single Document Rule
  • Document Disclosure
  • Spanish Contracts
  • Finance Reserve
  • Payment-Packing
  • Purchase/Lease Flip
  • Rental Disclosure
  • Sales, Closing and Desk Procedures
  • 4-Squares
  • AB-68
  • Deferred Down Payment
  • Regulations M & Z
  • Wholesale Procedures
  • Reconditioning
  • Safety Inspection
  • Title History
  • Wrongful Termination
  • Discrimination
  • Wrongful Death
  • Class Actions
  • Sales & Management Training
  • Song-Beverly Lemon Law
  • American Bar Association
    Los Angeles County Bar Association
    Los Angeles Business & Resale Licenses
    Resume & References upon Request
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    Wendy Carlson
    Forensic Document Examiner
    3021 Ridge Road
    Suite A-130
    Rockwall TX 75032
    USA
    phone: 214-458-6009
    fax: 303-265-9087
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    Colorado Office:
    1550 Larimer Street, Suite 251
    Denver, CO 80202
    T: 303/330-8636
    F: 303-265-9087
    Texas Office:
    3021 Ridge Road, Suite A - PMB 130
    Rockwall, TX 75032
    T: 214/458-6009
    F: 303-265-9087


    Wendy Carlson, a Forensic Document Examiner, has studied handwriting examination and apprenticed under some of the leading court-qualified Forensic Document Experts in the U.S.A. such as: Bart Baggett, California; Robert Baier, New York and Don Lehew, Texas.

    Ms. Carlson has testified in multiple states and has reviewed hundreds of signatures and handwritings, examined case documents and rendered an opinion on cases in Alabama, Arkansas, California, Colorado, Florida, Indiana, Iowa, Kansas, Kentucky, Las Vegas, Louisiana, Maryland, Michigan, Mississippi, New Jersey, New Mexico, New York, Pennsylvania, South Carolina, Texas, Utah, Wisconsin, Washington, Washington D.C., London, England, Quebec and British Columbia, Canada. She has also examined documents and rendered opinions in cases written in Arabic, Chinese, English, Korean and Spanish writing.

    Specific Areas of Training:
  • Handwriting Identification and Discrimination
  • Signature Comparison
  • Techniques for Distinguishing Forged Signatures
  • Disguised Handwriting
  • Altered Numbers
  • Anonymous Writing
  • Factors that Affect Writing
  • We appreciate Windle Turley, Esq. for his excellent lecture on "Working with an Expert Witness...the Plaintiff Attorney's Prospective."

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    Dr. William B. Fairley, President, Co-Founder, Senior Statician
    Dr. William A. Huber, Statician, Mathematician, Data Analyst
    Victoria Mills
    1489 Baltimore Pike
    Springfield PA 19064
    USA
    phone: 610-543-0159
    fax: 610-543-8952
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    Analysis & Inference, Inc. is a team of statisticians and data scientists whose expertise in Statistical Theory and Application has been honed over the course of more than 700 projects. Senior statisticians, Dr. William (Will) Fairley and Dr. William (Bill) Huber direct A+I statistical consulting and research for corporations, government, non-profit agencies, and law firms, providing in-depth perspective and highly effective analysis.

    Services Include:
    • Risk Analysis - Statistical, probability, and related financial analyses for risk, accidents, and health
    • Audits, Surveys, Theft, and Fraud - Determination through statistical sampling and modeling of amounts of monies recoverable in audit disallowances, large-scale thefts, and fraud, etc.
    • Discrimination - Analysis of data, questions of statistical significance and validity, and development of models relevant to a wide range of discrimination claims in employment or in municipal services, housing, and other areas by age, sex, race, etc.
    • Liability and Damages - Statistical analysis and related economic aspects to address alleged harm or specific damages
    • Finance, Regulation, and Insurance - Statistical analysis and related aspects of finance theory and economics in issues such as price discrimination, royalties, real property valuation, investment risk and return, regulated rates of return, and risk classification in property-liability insurance
    • Public Policy - Examples are school funding mechanisms, hazardous materials management, economic regulation, and discrimination
    William Fairley Statistics Expert PhotoWilliam B. Fairley, PhD, President, Co-Founder, and Senior Statistician is nationally recognized for contributions to law and public policy and widely published in leading statistical and economics journals. He has contributed to successful outcomes in more than 400 professional engagements. He has published over 45 professional articles, and been accepted as an expert by over 30 courts, boards, arbitrators, or mediators.

    An expert with respect to the Medicaid reimbursement system, Dr. Fairley was the first to identify and quantify an unfair bias in the way the system assigned payments to the states. By introducing the concept of a “Penalty Bias,” he helped return millions of dollars in penalties to a coalition of states.

    Dr. Fairley has been recognized as an expert statistician in numerous federal and state courts, as well as in settlement negotiations, arbitrations, and mediations.

    William Huber Data Analysis Expert PhotoWilliam A. Huber, PhD, Statistician, Mathematician, and Data Analyst is an Accredited Professional Statistician (American Statistical Association) with a PhD in mathematics from Columbia University.

    When New Jersey implemented new regulations to control groundwater pollution, Dr. Huber predicted that prominent manufacturing plants would face unexpected and unfair financial penalties. Using statewide data obtained through the FOIA, he created and analyzed a database of monitoring records to determine which facilities would be affected. Working closely with industry, the New Jersey Department of Environmental Protection, and the public, Dr. Huber recommended changes to the regulations which were quickly adopted, leading to a fairer, more effective program that remains in use today.

    Dr. Huber mines data to uncover valuable insights that improve critical business decisions to boost company and product performance. His expertise is in developing models which describe patterns and explain the relationships among variables that can reveal previously unseen facts of high business value. As President and Founder of Quantitative Decisions, a statistical consulting and software development firm, Dr. Huber completed over 300 projects, illuminating ideas that accelerate growth, innovation, and competitiveness. Many of his projects have focused on environmental statistics and decision analysis.

    Dr. Huber has testified in federal courts and supported litigation as a consulting expert in many states and Mexico.
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    Ann Mahony
    P.O. Box 475166
    San Francsico CA 94147
    USA
    phone: 415-441-0273
    fax: 415-441-0233
    Ann Mahony
    Board Certified Document Examiner; court qualified since 1982; appointed in state and federal courts. Timely turn-around, exhibit prep, consultation and testimony.

    Certification &Proficiency Testing:
    Board Certified, National Association of Document Examiners
    American Institute of Applied Science, Certificate in Document Examination
    Collaborative Testing Services, 085-521 Questioned Document Proficiency

    Areas of Expertise:
    Signatures, handwriting, hand printing, initials
    Alterations, page substitution, latent handwriting impressions
    Paper, watermark, inks, photocopies, computer generated documents
    Mortgage fraud, robo-signing, notary entries
    Wills, deeds, contracts
    Elder fraud, medical records
    Calendars, journal entries
    Anonymous letters, hate mail, graffiti
    Lab includes : IR, UV, ESDA, digital photography

    Professional Affiliations:
    National Association of Document Examiners
    Northern California Fraud Investigators Association
    Forensic Expert witness Association
    American Society for Testing and Materials

    Lectures/Training: Calif Judges Assn; State Bar of Calif; Calif Assn. of Police Training; Northern Calif Fraud Investigators Assn.; Calif. Burglary & Theft Investigators, Safeway; Pacific Bell.

    Services Include:
    Consultation and opinion
    Laboratory examination and analysis
    Document photography
    Preparation of court exhibits
    Preparation of written reports
    Deposition and courtroom testimony
    Review of opposing expert report & preparation of questions
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    Robert Archuleta
    CEO
    P.O. Box 1409
    Woodbridge CA 95258
    USA
    phone: 209-952-4081
    fax: 209-952-4081
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    Archuleta & Associates Investigative Services, a Division of Archuleta & Associates, Inc., has been providing investigative services within various industries since 1982. They are the overwhelming leaders within the CA Central Valley.

    The clientele of Archuleta & Associates, Inc. consists of every level of business, from both the private and public sector. Due to the wide range of services provided and their 25 years within the industry, they have worked with an extremely diverse and vast clientele base, from the largest of litigation firms to the smallest of personal clients.

    Robert A. Archuleta launched his career as a Private Investigator in 1983, after five years as an officer, investigator and sergeant for the Lodi Police Department, followed by stints as an engineering contractor and a deputy U.S. Marshal. Among his other clientele, Mr. Archuleta has been as an Expert Witness for the Department of Consumer Affairs for the State of California.

    Services Include:
  • Accident Reconstruction
  • AOE / COE
  • Civil Litigation
  • Copyright Infringement
  • Criminal Defense
  • Criminal Prosecution
  • General Engineering
  • GPS Location / Tracking
  • Insurance Bad Faith
  • Insurance Defense
  • Seminar Training
  • Surveillance
  • Traffic Reconstruction
  • Video Evidence
  • Voice Stress Analyzation
  • Workers Compensation
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    Michael J. West
    400 West Capitol Ave., Suite 1700
    Little Rock AR 72201
    USA
    phone: 501-605-0360 (24 hour)
    Michael West is a Certified Fraud Examiner, a Certified Law Enforcement Instructor and an experienced legal investigator in Arkansas, Louisiana and Oklahoma. With 33 years of investigative experience, Mr. West has worked with commercial firms, local, state and federal agencies including the Department of Defense (DoD) Inspector General's Office, the US Attorney, the Air Force Office of Special Investigations and others. He is considered an expert at evaluating the investigative practices of investigative agencies.

    Mr. West has investigated allegations into Ethics Violations, Corporate, Procurement and Medical Fraud and he is a former Computer Forensics Examiner who has conducted detailed analysis of millions of Medicare records for healthcare fraud investigations.

    Mr. West's Experience Includes:
  • Investigating Workers Compensation
  • Unexplained Deaths
  • Various Frauds
  • Insurance Interviews
  • Record Searches
  • Hundreds of Background Investigations
  • Mystery Shopper Assignments
  • Public Integrity Investigations
  • Police Department Investigations
  • Asset Searches
  • Domestic Investigations
  • Child Custody Issues
  • Stolen Property
  • Hundreds of Hours on Surveillance
  • At some point you have probably shared or will share professional information "in confidence," and when you do, you trust the other party or parties to keep the information to themselves.

    The partnership between attorneys and private investigators is an important one. When you need an asset search, background check, fraud analysis, or other specialized research, a qualified professional investigator has the skills and resources to do the job for you more efficiently than you can do it yourself.

    One of the significant decisions an attorney makes during his/her career is how to choose and utilize a private investigator.

    Many people complain about the economic downturn adversely affecting their investigative business, but I believe it might also be a result of other contributing factors.

    11/7/2008 · Forgery & Fraud
    When this CFE was being ignored by his heating and cooling company he suspected more than poor customer service. Sure enough, the office manager was pilfering the firm. Here's the CFE's story of how he helped devise a plan to prevent subsequent employee fraud

    There are three considerations when hiring a private investigator: Flexibility, Focus, and Funding. The final result should reflect these "A’s": Adaptability, Accomplishment, and Affordability (and a successful relationship with your private investigator

    Many states don’t require proof of infidelity to get a divorce. Many people don’t care if this is a requirement or not, as they still want to know and want conclusive proof that their spouse has been seeing someone else before contacting an attorney

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    J.F. Chip Morrow
    Nationwide coverage
    San Antonio ALL States 78261
    USA
    phone: 210-651-3749
    fax: 210-651-4076
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    Profile: 47+ yrs experience in financial, mortgage & business institutions including 17+ President, CEO & Director & 6+ director of a mortgage company. 15+ years of leadership/ directorships in national & state trade associations. Over 500 federal & state nationwide cases i for FDIC, FannieMae, financial institutions, mortgage companies, businesses, non-banks, individuals. Services provided: consulting, depositions, reports, affidavits & court testimonies.

    Expertise: Financial Institutions, Mortgage Institutions, Business, Real Estate. Residential mortgage loans,construction loans, commercial real estate loans, business loans, SBA; Operations; Fraud; Lender Liability; Policy & Procedures; Fiduciary Duties, D & O conduct, Other. Reports, depositions & court testimony in Federal, Bankruptcy & state courts.

  • 500+ nationwide cases working both for defendants and plaintiffs.

  • 20+ years of in-house, industry, and outside expert witness experience.

  • 75+ depositions taken and 35+ court appearances in both Federal and state courts.

  • Clients: FannieMae, FDIC, Freddie Mac, FHA, VA, Viacom, Wells Fargo Bank, State of CA, Bank of America, Amex, Citicorp Mortgage, Washington Mutual, Bank One, Long Beach Mortgage, EMC Mortgage, JPMorganChase Bank, PacifiCare, Beal Bank, Avnet, Fidelity Title & First American Title

  • Approximately 50% of cases are for financial institutions, 40% against financial institution and 10% are other.

  • Serving clients nationally— 40% plaintiffs and 60% defendants.

  • Resume, fee information and references provided on request.
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    J. Michael Feeks
    Principal
    See Locations Below
    MA, NJ USA
    phone: 978-887-3960
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    Offices:
    150 Allen Road, Suite 100
    Liberty Corner, NJ 07938
    8 Kate's Lane
    Boxford, MA 01921

    Profile: J. Michael Feeks, one of the founders of Bank Experts Group, provides litigation support and expert witness services to law firms in banking-related matters. He has handled approximately 70 cases as an expert and has provided court-room and/or deposition testimony in more than 15 of these matters.

    Expertise: Mr. Feeks has served as an expert in cases involving:
    • Commercial and Real Estate Lending
    • Loan Approval, Workout and Administration
    • Business and Consumer Banking Operations
    • Management Policies, Practices and Procedures
    • Regulatory Compliance
    • Bankruptcies and Frauds
    Law Firms Served, include: Bailey Kennedy, Cahill Gordon & Reindel, Elliott Reihner Siedzikowski & Egan, Hoagland Longo Moran Dunst & Doukas, Margolis Edelstein, McCarter & English, Scarinci & Hollenbeck, Schenck Price Smith & King, Shearman & Sterling, Shipman & Wright, Windels Marx Lane & Mittendorf.

    Background: 35+ years banking experience. Served major bank in business lending, branch operations and management. Served community banks as president, director and other senior positions. MBA – New York University. Graduate – Manhattan College and Stonier Graduate School of Banking.

    Bank Experts Group is a consulting firm that provides litigation support in banking-related matters and specialized assistance to banks and other financial institutions. The principals are experienced former bankers, regulators and educators with extensive experience in bank management.

    View Consulting Profile.

    Bank
    7/26/2006 · Banking
    How do some community banks manage to go from near-failure to above-average ROAs and ROEs in a matter of a several years? How do mediocre performers achieve top-tier financial performance in similar timeframes? Generally speaking, there are at least 10 success factors underlying most turnarounds of operations and earnings

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    Mark C. Riley, Co-Founder
    Susan E. C. Riley, Co-Founder
    14732 Vint Hill Road
    Nokesville VA 20181-1232
    USA
    phone: 757-642-8353
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    Bank Resources and Solutions is an executive management consulting group that has provided Financial, Operations, and Regulatory / Compliance consulting services nationwide to financial institutions, attorneys and regulatory authorities since 2008. Litigation Consulting, Forensic Research and Expert Witness work are an important focus of our services. We have worked with attorneys and regulators on suits throughout the United States. Their work has included both plaintiff and defendant financial institutions, borrowers, depositors and regulators.

    Areas of Litigation Support Expertise: FDIC Suits, Non-FDIC Suits, Bankruptcy Suits, Employee Criminal Actions / Bribery, Branch Operations, Bank Secrecy Act Policies / Procedures, Wire Transfers, New Account Fraud, Trust Account Fraud, Bank Negligence, Foreign Checks.

    Mark Riley Banking Operations Expert PhotoMark C. Riley is an experienced and successful former Bank Chief Executive Officer whose background includes leading the turnaround of two banks that had been operating under regulatory agreements upon arrival. Mr. Riley’s relevant experience was overseeing all areas of his banks including the development, approval, and implementation of effective risk management programs.

    For example, as CEO, Mr. Riley was involved in all phases of lending from business development to credit analysis and underwriting to overseeing loan approval and review process, providing due diligence of client bank loan portfolios, developing and overseeing workouts of nonperforming loans. This is particularly important in Expert Witness support as Mr. Riley’s background will carry more weight than technical specialists such as Loan Officers. Using loan officers, analysts and even lending group managers can provide the technical side of lending (underwriting, documentation, recordation and related nuts and bolts). As a Bank CEO & Director with lending expertise, Mr. Riley can provide all of that, but more importantly to a lawsuit, is knowledge of Director Loan Committees and their response to weaknesses that occurred in the technical side and what actions did they take to ameliorate or exacerbate the problem.

    Mr. Riley has provided Expert Witness services, including consulting, reports, depositions and testimony, to attorneys representing the FDIC, banks, bank clients, and related companies.

    Susan Riley banking Compliance Human Resources Expert PhotoSusan E. C. Riley is an experienced Senior Officer whose background includes the total responsibility for creating and managing the enterprise-wide systems of two denovo banks. Her relevant experience also includes creating and managing the Human Resources Department, Compliance, IT and IT Security, BSA/AML, ACH, Vendor Management, and related contract negotiations and Retail Bank Management.

    As co-founder of Bank Resources and Solutions, Mrs. Riley has analyzed, recommended, and implemented complex banking software within tight guidelines. She has established a solid reputation as a “no nonsense, identify the challenges, develop effective strategies and get the solutions in place” administrator.

    Mrs. Riley has provided Expert Witness research and consultation in client v. bank and bank v. client related matters.

    View Bank Resources and Solutions' Consulting Profile.
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    Bob Lawson, CFE®, AIF®, RFC®, LUTCF®
    Securities & Insurance Expert Witness | FINRA Arbitrator
    3800 American Boulevard West
    Suite 1110
    Bloomington MN 55431-4460
    USA
    phone: 800-741-0704
    fax: 952-835-1504
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    Securities ExpertCertified Fraud ExaminerMr. Bob Lawson, AIF®, CFE®, RFC®, LUTCF, is a Securities & Insurance Expert Witness retained for FINRA arbitration, mediation, and federal/civil court litigation. Mr. Lawson possesses over 30 years of experience within the securities and insurance industries. In 1988, Mr. Lawson founded Barrington Capital Management, Inc., a Registered Investment Advisory firm and Insurance Agency, and currently serves as the President and Chief Compliance Officer.

    In addition, Mr. Lawson presides as a FINRA & NFA Dispute Resolution Arbitrator for disputes concerning public and private investors, financial services professionals, broker-dealers, and dually-registered investment advisers. Claims often arise regarding breach of fiduciary duties, employment disputes, conflicts of interest, churning, unsuitable investments, and failure to supervise, among others. Mr. Lawson also serves as a public mediator and is a Qualified Neutral under Minnesota Rule 114 of Standard Practice in Mediation and Arbitration.

    His breadth of experience includes managing and supervising FINRA broker-dealer branch offices as a Registered Securities Principal, Options Principal, and Chief Compliance Officer. Mr. Lawson also has considerable experience with insurance products including variable annuities, fixed and indexed annuities, long term care, and life insurance. Mr. Lawson possesses numerous accolades and is certified as an Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Registered Financial Consultant (RFC®), and a Life Underwriter Training Council Fellow (LUTCF®).

    Retaining Mr. Lawson as an Expert Witness and Litigation Consultant will clarify and address relevant issues pertaining to your case from an insider's point of view. Upon a thorough examination and analysis of the case material, Mr. Lawson’s conclusions and opinions are impartial, objective, and predicated upon years of industry expertise and experience. Expert testimony and reports are supported by thorough and detailed research through case-specific analysis.

    Areas of Expertise:
    • FINRA & SEC Regulations
    • Breach of Fiduciary Duty
    • Promissory Notes
    • Securities Fraud Investigations
    • Ponzi Schemes
    • Options, Stocks & Bonds
    • Due Diligence
    • FINRA Arbitration
    • Professional Malpractice
    • Economic Damages & Losses
    • Employment Discrimination & Termination
    Services:
    • Litigation Consulting
    • Unbiased Case Analysis
    • Discovery Review & Recommendations
    • Portfolio Risk Reports
    • Securities Fraud Investigation
    • Damage Calculations
    • Expert Testimony
    View Bob Lawson's Consulting Profile.
    7/11/2017 · Securities
    In the securities brokerage industry, "selling-away" refers to the prohibited practice of an Associated Person effecting or soliciting the sale of securities or investment products not held or approved with whom the broker is affiliated without prior written consent. FINRA regulators have seen a steady flow of selling-away cases over the years involving registered representatives who are being targeted by issuers, promoters and marketing agents to sell their nontraditional investment products to their retail customers. In many instances, promoters of these products are marketing them as non-securities products that do not have to be sold through a broker-dealer by a registered person. In a significant number of cases, associated persons have sold these investments to their customers away from the broker-dealer and without firm approval as required by FINRA Rule 3270. Selling-away often occurs in an independent branch or a satellite office, where Associated Persons are removed from the day-to-day oversight and supervision of their brokerage firm's compliance department.

    9/23/2015 · Finance
    I receive phone calls throughout the year from attorneys who have taken on their first FINRA case and they frequently are unaware how the FINRA Dispute Resolution process differs from other venues. I thought it would be helpful to provide a quick overview for new participants and a refresher for those more experienced securities attorneys on how the FINRA Arbitration and Mediation process works.

    8/26/2015 · Finance
    In FINRA-related cases many attorneys see discovery requests objected to by opposing counsel. Typically, opposing counsel objects to discovery requests citing that items requested are either "overly broad, vague, or ambiguous", or "impermissible per FINRA's Code of Arbitration Procedure". However, despite opposing counsel's reasoning, many objections to discovery requests are irrelevant and do not hold up in regard to FINRA's Code of Arbitration Procedure. Attorneys should not be intimidated or discouraged by these objections, but rather should understand that FINRA's guidelines concerning arbitration allow for most applicable and reasonably obtainable discovery information to be delivered.

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    John T. Foster
    President & CEO
    NJ USA
    phone: 609-707-1071
    John-Foster-Securities-Expert-Photo.jpg
    John T. Foster calls upon his deep and broad senior level experience, gained through a 35 year career in the broker-dealer industry, to provide uniquely relevant securities expert witness services. Uncommon in the “expert” field, Mr. Foster continues today to be actively engaged in the field as a specialized consultant for broker-dealer firms. He currently serves as the President and CEO of Bedford & Main Financial Consulting.

    Mr. Foster worked for many years in a senior management role for a large, multi-national self-clearing firm. He also served as the President and CEO of an independent broker-dealer where he was responsible for ensuring compliance and regulatory requirements were properly implemented to support a retail-based business. He is very familiar with financial services expert witness issues related to fundamental FINRA compliance regulations such as: suitability, supervision, senior issues, churning, complex products and written supervisory procedures (WSPs). He is also proficient in matters related to client and firm interactions with financial advisors, which frequently are subjects of FINRA arbitrations.

    Mr. Foster believes that in order to maintain ethical standards a high degree of selectivity is required when reviewing specific issues and determining his ability to provide a meaningful expert opinion. As such, he is happy to review a claim (“On my own time and expense of course!”) to determine if he has the proper background and agreement to support a case.

    Areas of Expertise:
    • Senior Issues
    • Suitability
    • Supervision
    • Churning
    • Discount Web Brokers
    • Complex Products
    • SEC Direct Market Access (15c3-5)
  • Written Supervisory Procedures (WSPs)
  • Financial Advisor Supervision
  • FINRA Compliance
  • Private Security Transactions
  • Outside Business Activities
  • Certified Anti-Money Laundering Specialist
  • Master Accounts and Sub-accounts
  • Licenses and Memberships:
    • FINRA Series 3, 7, 24, 27 and 63
    • Certified FINRA Dispute Resolution Arbitrator
    • Member of the Securities Experts Roundtable
    • Certified Anti-Money Laundering Specialist (CAMS)
    View Bedford & Main's Consulting Profile.
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