Arbitration FINRA Consultants: 4

Scopus Financial Group is a FINRA Regulatory Policy and Legal Compliance company, helping broker-dealers fulfill their regulatory responsibilities while meeting their customers’ needs. With Scopus, broker-dealers navigate regulatory waters with confidence.

Scopus is an invaluable resource to the compliance-conscious broker-dealer. They deliver research that is customized to their client’s business,and stand ready to answer client questions and scope out information that is relevant to the broker-dealers they serve.

Business Consultant Services:

Regulation Best Interest / State Fiduciary Rules - Scopus not only helps clients with Reg BI and Form CRS.but also helps clients evaluate proposed state rules, develop alternative rule language, and prepare informed testimony to state legislatures and securities commissions on the possible effects of proposed rules on legitimate business.

Sales Practice Services - Scopus helps broker-dealers navigate the FINRA and SEC sales practice rules, guiding clients according to their particular products and services; conduct internal investigations for possible noncompliance, help clients review supervisory policies and procedures, apply sales practice rules to new products and services, develop compliance strategies, and resolve particular sales practice issues.

Analysis of Regulatory Technology Software - Scopus helps our clients assess regtech software by analyzing how it would apply to the client's business model, whether it would achieve the advertised purpose, and how well the vendor will perform necessary services.

Training - Scopus assists clients in the development of training programs, developing training content that is tailored to the audience, focused on the important points, and delivered most effectively.

Due Diligence - Scopus helps clients perform due diligence on proposed acquisitions or mergers, with particular emphasis on a firm's compliance history, risk management, and commitment to regulatory oversight.

View Thomas M. Selman's Expert Witness Profile.

Safe Harbour Equity, Inc. offers Commercial Real Estate Brokerage, Capital Advisory, and Site Acquisition services for the Cannabis Industry. Safe Harbour provides the legal, operational, and financial prerequisites for building sustainable startup businesses and successfully managing complex transactions, capital structures, startup protocols, and basis transfers.  

Cannabis Consulting Services:

• Cannabis capital structures, financial statements, valuation, sale - lease back transactions, cannabis recapitalization & reorganization plans, cannabis receiverships
• Cannabis real estate and company financing structures and tax deferred transactions, 1031 exchanges
• Cannabis off balance sheet financing, startup equity investing, mezzanine debt, preferred equity, accredited investing
• Responsibilities of fiduciaries and the contractual implications of fiduciary duty
• Sale of unregistered securities & private placements, investment waterfalls and securities, disclosures, compliance, issuer liability

Peter John Ingersoll is a distinguished CEO and Corporate Broker for Safe Harbour Equity, Inc., specializing in Cannabis Real Estate and Investment. With over 40 years of experience in investment real estate, construction, development, trust, and banking, Peter is a thought leader in cannabis capital structures, financial statements, valuation, sale lease-back transactions, recapitalization, and reorganization plans. His expertise extends to off-balance-sheet financing, startup equity investing, mezzanine debt, and preferred equity. He is a former Series 7, 22, and 63 licensee, as well as a Series 65 registered investment advisor (RIA), 

Graduate of Wharton School – University of Pennsylvania – Finance 

View Peter J. Ingersoll's Expert Witness Profile.

Muñoz Dispute Resolution (MDR) provides individualized, personal Mediation, Arbitration, and Dispute Resolution Services for lawyers and their respective clients and principals that national firms cannot provide. MDR drills down on key issues and potential obstacles that may impact the efficient resolution of each case.

MDR can comfortably accommodate multi-party cases and are available to travel both within and outside California. They also have the expertise to confidentially and privately accommodate any resolution using virtual technology.

MEDIATION EXPERTISE:

• Professional Liability - Lawyers (legal malpractice, breach of fiduciary duty, and attorney-client fee disputes), Real Estate Brokers /Agents / Appraisers, Architect and Engineers, Accountants, Medical, Fiduciaries
• Employment - Harassment, Discrimination, Retaliation, Wage / Hour, PAGA
• Probate / Trust Litigation
• Personal injury - Dog bite, Premises liability, Construction Injury, Automobile / Trucking / Motorcycle accidents, Catastrophic Injury / Wrongful Death, Products liability
• Miscellaneous Torts - Defamation, Malicious Prosecution, Lemon Law

ARBITRATION EXPERTISE:

• Professional Liability - Lawyers (legal malpractice, breach of fiduciary duty, and attorney-client fee disputes), Real Estate Brokers / Agents / Appraisers, Architect and Engineers, Accountants, Medical, Fiduciaries
• Employment - Harassment, Discrimination, Retaliation, Wage / Hour Disputes, PAGA

DISCOVERY REFEREE - MDR provides discovery referee services for all civil litigation matters, offering the parties an avenue to informally resolve their discovery disputes before resorting to law and motion. If the issue cannot be resolved informally, MDR will entertain discovery motions and make rational and thoughtful findings and recommendations to the court.

William A. Muñoz, Esq., is a Civil Trial Attorney Legal Ethics Expert, and Third-Party Neutral with over 20 years of experience defending attorneys, and other professionals such as architects and engineers, real estate agents/brokers, real estate appraisers, and insurance brokers, as well as defending personal injury, toxic torts, products liability, defamation, wrongful termination / harassment, wage and hour and discrimination claims.

Mr. Muñoz is currently a member of the California State Bar Committee on Professional Responsibility and Conduct (“COPRAC”) where the Committee interprets and issues opinions regarding legal ethics and the California Rules of Professional Conduct. Mr. Muñoz also serves as an arbitrator for the State Bar’s Mandatory Fee Arbitration program.

Mr. Muñoz previously served as the Chair for the Legal Malpractice Law Advisory Commission for the State Bar of California Board of Legal Specialization responsible for preparing and grading the legal malpractice law legal specialization examination as well as assessing the qualifications of potential applicants seeking the legal malpractice specialization designation and recertification.

View William A. Muñoz's Legal Malpractice Expert Witness Profile.

Centennial Advisory Group is a boutique consulting firm specializing in Investment Management and Financial Services. They are a member of the Professional Association of Resume Writers and Career Coaches and hold the Certified Professional Resume Writer designation. Their goal is to enhance the career success and earnings potential of investment industry executives.

Services:

Frank Carr is a Certified Professional Resume Writer, a former Hedge Fund Chief Financial Officer, a Corporate Banker, and a 20-year executive search veteran for the Financial Services and Investment Management industries. Mr. Carr has advised thousands of junior, mid-level and senior executives on how to position and maximize their careers within the financial world. With over 4,800 investment industry connections on Linked In, his reach throughout the financial services world is extensive. He has written articles for and has been frequently quoted by publications such as Bloomberg News, CNN Money, Fund Fire, Ignites, Absolute Return, Hedge Fund Alert, and Hedge Fund Manager Week. Prior to forming Centennial, Mr. Carr had been a Managing Director in the Global Asset Management practice at A.T. Kearney Executive Search, a top 10 U.S. search firm. He began his search career at LAI Ward Howell which was later acquired by TMP Worldwide (owners of Monster.com). 

Prior to entering executive search, Mr. Carr was Chief Financial Officer of a Connecticut-based equity long-short hedge fund. He managed investor relations, accounting, and compliance, including registration with the Commodity Futures Trading Commission. Frank had spent eight years in commercial bank lending, initially with Citibank in their Wall Street Commodities division and later was a banker to the feature film and TV industries.

View Frank Carr's Expert Witness Profile.