Arbitration FINRA Consultants: 4

DMA Economics, LLC is a world class provider of Valuation Analyses in high-stakes litigation. Their clients include billion-dollar investment funds under SEC investigation as well multi-national firms involved in intellectual property disputes, consumers in product mislabeling cases, and small to mid-sized businesses involved in complex commercial litigation. 

DMA Economics has performed valuations for cases involving Theft of Trade Secrets, Securities Fraud, Product Mislabeling and Consumer Fraud, and Lost Profits and Enterprise Value to name a few. DMA Economics also has extensive experience in the valuation of business interests for non-litigation matters. These include but are not limited to valuations of non-public business interests, for acquisition and regulatory purposes.

 Donald M. May PhD, CPA, Managing Partner at DMA Economics, LLC, possesses over 30 years of Valuation and Economic Damages experience. He implements a broad range of damage analyses and valuations for clients including billion dollar investment funds under SEC investigation as well as smaller businesses concerned with the impact of potential litigation and strategies to reduce potential liability. 

Background Experience - Prior to founding DMA Economics LLC, Dr. May was Managing Director at Berkley Research Group and the Principal in charge of valuation and litigation support services for a regional accounting firm, a Managing Director for PricewaterhouseCoopers, and a professor at the Massachusetts Institute of Technology - Sloan School of Management. He has performed over 200 valuations of closely held businesses across numerous industries for financial reporting and estate planning. Dr. May has been published in several distinguished academic and practitioner journals such as The Journal of Finance, The Quarterly Review of Economics and Finance, Hedge Fund Law Review, and is currently an editorial board member of The Journal of Business Valuation and Economic Loss Analysis.

View Donald May's 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.

Bedford and Main Financial Consulting provides services primarily catering to the Broker-Dealer and Registered Investment Advisor communities. Founded in 2012, our fundamental areas of expertise are: Operations, Compliance, and Management. Our core services focus on traditional consulting projects, anti-money laundering (AML) testing and compliance, and expert witness litigation and testimony.

Bedford and Main is listed in the FINRA Compliance Vendor Directory

We enjoy supporting broker-dealers of all shapes and sizes. Our client list includes introducing brokers, correspondent clearing brokers, clearing firms. prop trading firms, Fintech brokers and new broker-dealer start-ups. Our testimonial page speaks for itself: www.BedfordandMain.com/testimonials.

Operations and Compliance Expertise: Our experience is both deeply rooted, yet freshly relevant. With 40 years of hands-on senior experience, our management has been actively building, growing and restructuring broker-dealers. While based in the metropolitan Philadelphia area, Bedford and Main's client base is global. Our “bread and butter” Operations expertise focuses on conversions and project management. While on the Compliance side, we specialize in areas related to Supervision, Anti-Money Laundering, and Acceptance, Waiver and Consent (AWC) settlements.

Bedford and Main is a supporter of SIFMA and the Financial Services Institute.

Consulting Specialties Include:

• Conversion Specialist – systems, staffing, back-office, firm mergers
• Strategic Project Management
• Clearing Firms and Securities Processing Platforms
• FINRA Compliance Issues, specializing in:
  • Supervision Issues
  • Anti-Money Laundering (AML)
  • Acceptance, Waiver and Consent (AWC)
• Anti-Money Laundering Independent Annual Tests (FINRA 3310)
• Contract Negotiations
• Broker-dealer Start-ups – FINRA New Membership Application Process (NMA)
• Selling “Shell” Firms and other Mergers & Acquisitions Activity

Our clients appreciate how valuable it is to work with a consultant who has held Series 3, 7, 24, 27 and 63 licenses, and is a FINRA Dispute Resolution Arbitrator and a Certified Anti-Money Laundering Specialist (CAMS). Moreover, the insights we provide resulting from our securities expert witness engagements often prove invaluable.

View John Foster's Expert Witness Profile.

Barrington Capital Management, Inc. provides customized financial solutions for unique financial challenges and objectives. Their expertise is in the development, implementation and ongoing management of a customized and diversified investment strategy. Barrington's mission is to assist in building, enhancing, and protecting personal wealth and maintaining financial security. 

President and Chief Executive Officer, Bob Lawson, has over 35 years of financial services experience as an Investment Advisory and Insurance Agency Executive, Securities Principal, and Options Principal. Bob proudly serves as an industry arbitrator for the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA), a Certified Fraud Examiner (CFE), ERISA (3)-21 Fiduciary, Master Registered Financial Consultant, and an Accredited Investment Fiduciary. In addition to teaching advanced investment strategies and Retirement Planning classes throughout the year. 

Bob Lawson has special expertise in stock options and has presented the following Options Industry Council (OIC) seminars to retail and industry professionals throughout the United States:

View Bob Lawson's Expert Witness Profile.