Arbitration FINRA Expert Witnesses

Thomas M. Selman, CFA, has served at the Financial Industry Regulatory Authority, most recently as Executive Vice President for Regulatory Policy and Legal Compliance Officer, for over 20 years. Mr. Selman oversaw more than a dozen regulatory programs and developed FINRA's formal Compliance Program. He is devoted to investor protection and market integrity.

Mr. Selman holds a JD degree., a CFA charter, and a CBDA from the Digital Assets Council of Financial Professionals. He is a member of three state bar associations.

Litigation Support - As President and CEO of Scopus Financial Group, Mr. Selman provides expert testimony in litigation for any consumer, industry, or associate person who is litigating a matter in which SEC or FINRA rules is an issue, including civil actions brought by customers, industry disputes, and commercial litigation. He has successfully testified in four FINRA arbitrations, one Delaware Chancery Court trial, one AAA arbitration, one United States District Court case, one California court case, and one SEC enforcement matter. Mr. Selman's senior regulatory experience allows him insight into the best approaches to expert testimony and the concerns of a regulator.

Areas of Expertise:

• Rules governing supervision of associated persons of broker-dealers and investment advisers
• Required written supervisory procedures of firms
• Sales practice rules of the SEC (such as the fiduciary duty of investment advisers and Reg BI)
• The 1940 Acts

View Scopus Financial Group's Business Consultant Profile.

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's role encompasses a focus on cannabis sector real estate, mergers and acquisitions, and capital advisory services. He has successfully managed complex transactions, capital structures, startup business protocols, and basis transfers.

Litigation Support - As a cannabis thought leader and expert witness, Peter offers services to attorneys for plaintiff and defense for creditor, investor, partner, and founder disputes.

Areas of Expertise:

Background Experience - A former Series 7, 22, and 63 licensee, as well as a Series 65 registered investment advisor, Peter brings a wealth of knowledge in fiduciary responsibilities, real estate and company financing structures, and tax-deferred transactions.

Graduate of Wharton School – University of Pennsylvania – Finance

View Safe Harbour Equity, Inc.'s Consulting Profile.

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.

Legal Malpractice Litigation Support - As a Subject Matter Expert, and with his wealth of experience, Mr. Muñoz is prepared to address the nuances of each case. His services are available to attorneys representing injured parties in the following areas:

Mr. Muñoz also serves as a Dispute Resolution Conference judge for El Dorado County Superior Court, a judge pro tem for Sacramento County Superior Court’s Settlement Conference Department, and more recently, a mediator for the Third District Court of Appeals Mediation Program. His approach is further informed by the renowned Straus Institute for Dispute Resolution at Pepperdine University Caruso School of Law mediation training program and the National Conflict Resolution Center mediation training program.

An expert in his field, Mr. Muñoz has presented locally and nationally on issues of legal malpractice, conflicts of interests and legal ethics and regularly contributes a column in the Association of Defense Counsel for Northern California and Nevada’s Defense Comment entitled “The Lawyer’s Lawyer” addressing issues of legal malpractice avoidance and legal ethics.

View Muñoz Dispute Resolution's Consulting Profile.

Frank Carr has extensive background and experience as an Investment Industry Employment and Compensation Expert Witness, especially in Investment Management Firms, Mutual Funds, Hedge Funds, Wealth Managers, and Broker-Dealers. Mr. Carr is a former corporate banker, investment firm Chief Financial Officer, and a 20-year veteran of executive search for the Investment Management industry. 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 entering the executive search field, he was the Chief Financial Officer of a Connecticut-based hedge fund and Commodity Trading Advisor (CTA). Mr. Carr started his career in commercial bank lending, initially with Citigroup in their Wall Street Commodities division and later specialized in financing independent feature film producers, TV producers, and television station owners on behalf of European American Bank in New York. 

Litigation Support - Frank Carr is an Investment Industry Employment and Compensation Expert Witness who has been retained by both plaintiffs and defendants for American Arbitration Association, JAMS and FINRA arbitration, mediation, and federal court litigation. Mr. Carr has over 30 years of experience in Financial Services, Investment Management, and Banking and his areas of coverage include Traditional and Alternative Investments – Equities, Fixed Income, Mutual Funds, Hedge Funds, Private Equity, and Managed Futures. Specialist in Wall Street Divorce. 

Areas of Expertise:

Prior Expert Witness Assignments:

• Represented a hedge fund portfolio manager as an expert rebuttal witness in a high-profile hedge fund employment/compensation lawsuit. Prepared a rebuttal opinion letter submitted to the United States District Court for the Southern District of New York.
• Represented a $12 billion Texas-based SEC Registered Investment Adviser and leading global alternative credit manager in a JAMS arbitration regarding a terminated employee. Prepared a rebuttal expert witness report and provided live testimony at the JAMS arbitration hearing.
• Represented a financial advisor in a FINRA arbitration against one of the top 5 U.S. wealth management firms. The scope of the opinion included projected career advancement, compensation analysis, and calculation of lost earnings.
• Represented a portfolio manager/ investment analyst in a wrongful termination action against one of the largest U.S. Broker-Dealers with over $600 billion in assets. The scope of the opinion included projected career advancement and compensation analysis. Prepared an expert witness report and provided live testimony at the FINRA arbitration hearing.

Education - Mr. Carr is a graduate of Williams College where he received a Bachelor of Arts degree in Political Economy. He completed the Management Training Program at Citigroup in New York, including courses in accounting, finance, and capital markets. He has previously held FINRA licenses, Series 3, 6, and 63, and has completed Level I of the Chartered Alternative Investment Analyst (CAIA) program.

View Frank Carr's Consultant Profile.