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.
Bob Lawson, AIF®, CFE®, MRFC®, LUTCF®, is a Securities & FINRA Expert Witness retained for FINRA arbitration, mediation, and federal/civil court litigation. Mr. Lawson possesses over 35 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 Managing Principal of Barrington Financial Consulting Group, Inc, a 12-person Securities Litigation and Consulting Expert firm.
In addition, Mr. Lawson serves as a FINRA Mediator and presides as a FINRA & NFA Dispute Resolution Chairman for disputes concerning investors, financial services professionals, broker-dealers, and dually-registered investment advisers. Claims often arise regarding breach of fiduciary duties, securities fraud, 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 an Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Master Registered Financial Consultant (MRFC), 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.
Bob is active in the following organizations: Vice-Chairman - Master Registered Financial Consultants | Mentorship and Practice Management Chair - Securities Experts Roundtable | Twin Cities Certified Fraud Examiners Association, Membership Chair - Minnesota State Bar Association ADR Section
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.
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.
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.
Dr. Larry Chiagouris has a rare combination serving as a senior Fortune 500 executive and as an accomplished academician. He has provided expert testimony and written opinions on damages, marketing, advertising, intellectual property issues (including the use of survey research) for plaintiffs & defendants at major national & local firms.
• Experience evenly divided between plaintiff and defendant engagements over 25 cases
• Several cases include elements of intellectual property issues
• Majority of cases involve elements of consumer behavior or survey research
• Majority of cases involve elements of advertising related strategies and tactics
• Majority of cases involve elements of Internet related tactics
• Majority of cases involve written opinions and depositions
• Written and oral testimony in several Federal District Court jurisdictions
• Engaged by both large multinational law firms and small boutique firms
• Class action cases evenly divided between plaintiffs and defendants
Selected by Agency Magazine as one of 10 best and brightest researchers. He brings extensive experience as a Senior Marketing, Branding and Research Executive responsible for directing major assignments for companies such as AT&T, Campbell Soup, Kraft, Miller Brewing, Peugeot, Pfizer, Prudential and Visa.
He has a Ph.D. in Marketing, is Past Chairman, Advertising Research Foundation and Former Director of the American Marketing Association.
Survey research is used to provide greater levels of understanding in a wide variety of disputes. Issues such as consumer confusion, misleading advertising claims, disparagement, copyright infringement and trademark disputes can be better assessed as a result of developing and executing survey research. The purpose of this monograph is to aid attorneys in understanding what research standards and guidelines might be relied upon in their use of survey research.
Peter Wade is a Federal court qualified expert in Postal Procedures and Postal Inspection Service policies, investigative methods and techniques. He has twenty-five years of experience with the U.S. Postal Inspection Service, eight years as a postal inspector and seventeen years in supervisory and policy-making positions. Mr. Wade also has two years of experience as postmaster of San Juan, PR. He has provided expert opinions in numerous federal and state court matters regarding postal criminal investigative procedures and USPS policies and procedures.
USPS technology affords every customer the ability to document the date that mail addressed to them is available for delivery. The Postal Service takes an image of each standard sized piece of letter mail that will be delivered to every address in the United States every day.
Both plaintiffs and defendants are often frustrated because official USPS records of the disposition of Certified Mail are only retained for two years. Often, litigation in a matter does not even begin until more than two years after the situation being litigated have passed.
James (Jim) K. Ellis is a retired FBI Agent with more than 33 years of complex investigation experience. He is a Certified Fraud Examiner (CFE), a Private Investigator, and FINRA Arbitrator.
During his 29-year career as an FBI Agent stationed in Dallas, Texas, Mr. Ellis earned over 20 awards and commendations. He led investigations on hundreds of complex criminal violations including fraud, money laundering, violent crime, homicide and narcotics trafficking. He served for ten years on the FBI’s highly acclaimed Evidence Response Team before retiring from the FBI on December 31, 2015.
Litigation Support - After retirement, Mr. Ellis became a Private Investigator specializing in complex fraud investigations and expert witness support for attorneys. He has participated as the lead investigator in dozens of trials at both the federal and local levels. He has years of experience actively working all stages of the litigation process. From running investigations, to the filing of a legal action, to the presentation of the matter in a trial before a jury, Mr. Ellis is exceptionally qualified to help attorneys for both plaintiff and defendant deal with the arduous tasks of preparing for litigation. He is located in Texas but is available nationwide.
Laurie Hoeltzel, PhDc, a Forensic Document Examiner, has studied handwriting examination and apprenticed under some of the leading court-qualified Forensic Document Experts in the United States. She spent 11 years serving her country in the United States Air Force, including three tours of duty in Iraq, while obtaining a Bachelors degree and Document Examination Certificates. Laurie Hoeltzel has been 100% court-qualified and her testimony has always been allowed.
Litigation Support - Ms. Hoeltzel has reviewed numerous signatures and handwritings, examined case documents, and rendered an opinion on cases in AZ, AL, CA, CO, DE, FL, GA, IN, IA, IL, KS, KY, LA, MI, MD, MO, NV, NJ, NM, NY, NC, NY, ND, OH, OK, OR, PA, SC, TN, TX, UT, VT, VA, WV, WI, WA, Washington D.C.; Montreal & Quebec Canada; Freeport & Nassau, Bahamas. She is court-qualified and attorney-recommended. With over 20 years of experience, she is available for depositions and court testimony when necessary, Ms. Hoeltzel offers her expertise to counsel for both plaintiff and defendant NATIONWIDE!
Areas of Specific Training:
Distinguishing Forged Signatures Techniques
Factors that Affect Writing
Disputed Documents or Signatures Analysis on: Wills, checks, contracts, deeds, account ledgers, mortgages, loans, notary disputes, and medical records. Investigation and Analysis for: Questioned signatures, suspect documents, forgeries, identity theft, robo-signing, anonymous letters, bond authentication, alterations, obliterations, erasures, typewritten documents, altered medical records, graffiti, handwritten numbers, suicide notes, and computerized and handwritten documents.
Mary Wickens, JD, CFE, CHC has over 35 years experience in the Healthcare Insurance, Managed Care, and Compliance Industry. Her experience includes advising and counseling health care providers, insurers, government contractors, and others in compliance, ethics, fraud and abuse, Medicare, Medicaid and Federal Employees Plan, managed care, and other matters. Background Experience - Ms. Wickens is a former compliance officer for a major health insurer and former legal and compliance specialist for a CMS Medicare Program Safeguard Contractor. Also a former operations director for government programs (Medicare Part C, Medi-gap, and FEHBP) for a major HMO, she is experienced with government audits and investigations, commercial audits, as well as self-reporting and internal investigations. Ms. Wickens has decades of experience as in house counsel to HMOs and health insurers. She has drafted, developed, negotiated, and implemented numerous healthcare provider-payor contracts, and developed and implemented codes of conduct, ethics programs, compliance programs and numerous corrective action plans. Litigation Support - Mary Wickens provides litigation support, including skilled expert services, reports and testimony in federal False Claims Act cases, arbitrations, and provider-payer disputes. She is an experienced testifying expert, responsive to the needs of counsel, with excellent report writing skills. Ms. Wickens' services are available to counsel representing both plaintiff and defendant. Areas of Expertise:
This brief describes: Which government agencies and health care providers have power to act and what are those powers? Who controls testing and reporting results and who has the power to isolate individuals, impose quarantines and take other steps to mitigate the outbreak.
The US Department of Justice (DOJ) recently joined a federal qui tam lawsuit1 brought against a private equity firm that specializes in health care pharmacies. Notably, the case also charges individual partners of the private equity firm, Riordan, Lewis & Haden, Inc. (RLH) based in Los Angeles2. They are charged with violations of the federal Anti-Kickback Statute (AKS) and the federal False Claims Act (FCA) in connection with their management of Diabetic Care Rx/Patient Care America (PCA), a compounding pharmacy. The case involves reimbursements from TRICARE, the health care program for the military and their families.
Health care fraud and abuse cases are often won or lost on the effective use of expert witnesses. As health care fraud cases have become more complex and technical, the scope and use of expert testimony has proliferated, and the successful use of experts is one of the lawyer's most important jobs. False Claims Act, Anti-Kickback Statute, and Stark Law cases all demand various types of experts to assist the trier of fact in understanding the nature of the case, the morass of rules at play, the evidence, and a variety of billing, valuation, contractual, technical, and compliance concepts. Increasingly, expert reports and testimony play a pivotal role in motions for summary judgment, as well as at trial. Experts also are used in "conference room litigation," such as mediations or negotiations between defense counsel and enforcement agencies. This article is the result of interviews with health care fraud litigators and expert witnesses in the field who identified their best practices to produce optimum outcomes for their clients.
Mike Wakshull is a civil and criminal court-qualified document examiner who partners with legal clients to dissect the evidence presented in handwritten and computer-generated questioned documents. His valid approach produces winning arguments during the trial. Wakshull applies his scientific training to examine questioned documents which is a court requirement. He uses generally accepted practices such as ASTM standards. His laboratory is well-equipped and he has built a large forensic reference library. Wakshull is skilled at creating and explaining complex exhibits in easy-to-understand language and pictures. His courtroom approach is to teach and engage the trial participants—opposing attorney, judge and jury.
Mike Wakshull holds a graduate school certificate in Forensic Document Examination. Since the 1980s, Mr. Wakshull has worked and studied in the science and discipline of Document Examination and Handwriting Analysis. He is one of only a handful of forensic document examiners with graduate school training in the science of forensic document examination. His opinion is always based on sound fundamentals of evidence. Mr. Wakshull has spoken at International and local conferences and seminars and also holds professional certifications that bring unique skills to your case. As a Certified Quality Engineer, Mr. Wakshull studied the science of variability and applied this to the analysis of handwriting and documents. As a Certified Information Systems Auditor, he applies his knowledge of information systems and technology to the analysis of documents.
Q9 Consulting, Inc. Has both an extensive research library and laboratory. Q9 Consulting, Inc. serves Southern California counties of Riverside, San Diego, Orange, San Bernardino, and surrounding regions. Work is accepted from all other locations.
You have hired a forensic examiner to analyze evidence for your civil case. After a thorough examination of the evidence, the forensic examiner delivers a weak forensic opinion toward favoring your theory of the case. Will the examiner's weak opinion help you in trial?
Generally, document examiners state that a source signatures is needed to show that the signature on a document is cut from another document then pasted onto the document in question. In this case study, a technique is presented to demonstrate how a cut-and-paste was discovered without the source signature.
When she was a girl, the young woman had emigrated with her family to the United States from her home country in Africa. She grew up in the northeastern USA and was now attending college. As part of her application for United States citizenship she must present her birth certificate. Her father sent the birth certificate to her. The birth certificate had apparent alterations. Government officials refused to accept the birth as valid because her appearance did not match the age on the birth certificate. She was born in 1994 yet birth certificate appears to state her year of birth as 1984.
The divorce had been finalized 15 years earlier. The husband had moved on with his life. He was happily remarried and enjoying his retirement years. The ex-wife could not let go. She sued in the Superior Court of Los Angeles claiming the husband would not relinquish rights to real property and other interests that had been part of the divorce settlement.
The decedent signed a life insurance beneficiary form a few weeks after having brain surgery. The plaintiff claimed the signature was not executed by the decedent. The defense claimed that the decedent had signed the document and the differences are attributed to the effects of brain surgery.
As with any other profession, document examiners have a range of expertise and experience. As important as it is for your client to make a clear assessment of your abilities, it is up to you to determine in advance, with a high degree of accuracy, whether the document examiner you plan to hire will perform the most accurate assessments and be ready to back up those assessments with a scientifically repeatable methodology in court.
None of us wants to feel that our opinions are tainted by bias. The ability to recognize when bias is an influence in an expert's opinion and the skill of an expert to overcome his or her biases is integral to an expert's credibility.
The Most Dangerous Animal of All was co-written by the estranged son of California’s infamous Zodiac killer to reveal his father’s true identity. When the book hit the streets the skeptics were in full force. Just like those who mocked the boy who cried wolf, no one could blame them. Too many people had already claimed to either be the killer or to know who he really was.
Forensic document examination, performed correctly, is a reliable discipline that can demonstrate the innocence of your client or the guilt of your opponent. Used strategically, it can help you settle out of court. When court is necessary, your document examiner can present a case so clearly that the outcome is beyond doubt. To achieve this, your document examiner must be proficient in the latest techniques and adept at reporting results.
" Q9 Consulting, Inc. announces the release of a new book, The End of the Zodiac Mystery, How Forensic Science Helped Solve One of the Most the Most Infamous Serial Killer Cases of the Century by Michael Wakshull."
EJ Janik, CPA, CFF, CFE is a Certified Public Accountant with 37 years of professional experience. He specializes in financial audits, compilations and reviews, consulting for commercial litigation, antitrust matters, engineering and construction matters, real estate, and bankruptcy / business reorganizations matters. Mr. Janik holds a Master of Science in Accounting from Louisiana State University and a Bachelor of Commerce from Rice University. He is a member of the American Institute of Certified Public Accountants and the Texas Society of Certified Public Accountants.
Mr. Janik has provided over 150 financial audits and consulted in over 685 business disputes. He has provided expert testimony in over 80 matters including trial testimony in 48 trials or hearings in 8 states. Mr. Janik's accounting services include Damages/Lost Profit analysis, Forensic Accounting, Fraud Investigations, Fact Finding, Financial Analysis, and Expert Witness Testimony when necessary.
Debt & Capital Analyses
Mergers & Acquisitions
Royalties, Commissions, Income
White Collar Crimes
Mr. Janik is also uniquely qualified to measure construction claims and damages. With over 11 years of construction experience, he has accumulated over 13,000 Engineering and Construction (E&C) auditing hours, 10,000 E&C consulting hours, and 15,000 E&C supervised hours.
Sidney Blum, CPA, CFE, CPEA, CFF has 30 years of professional experience in Economic Damages, Intellectual Property Damages, reasonable royalites, & royalty audits. Leading licensing contract terms expert. 2017 California CPA of the Year & 2012 Certified Fraud Examiner of the Year.
Particular strength in royalties, patents, trademarks, copyrights, DMCA, toys, entertainment, oil & gas, malpractice, breach of contract, and consumer products. Former Chief Audit Officer at Beats Electronics, nine years as an accounting firm Partner including as a Big 4 Partner. Employee of Fortune 50 companies Occidental Petroleum, Unocal, and the Walt Disney Company. While with Ernst & Young, he led fraud and forensic investigations nationally for their internal audit practice. Vice Chair (2016-2017) Board of Regents of the 80,000 member Association of Certified Fraud Examiners. Lead more than 1,500 financial investigations.
Complex Economic Litigationsand Intellectual Property Expert Witness- As a Economic Damages expert witness, Mr. Blum has worked on matters from simple to several billion dollars complex litigations. He has been retained as an expert witness for more than 100 matters. Most retentions have required a Federal report. Mr. Blum is a Certified Fraud Examiner, Certified Professional Environmental Auditor, and Certified in Financial Forensics by the AICPA. His damage calcuations have consistently been accepted over other experts. His reports are ranked as the best by judges. Broad range of clients for leading law firms. Representative clients: Amgen, Microsoft, Disney, Dolby, Sony, Paramount Pictures, Mattel, GM, Sears, IGT, IMG, Tessera, Philips, Diageo, Harley-Davidson, DKNY, Chrysler, Ross, Steven Spielburg, Tom Hanks, Shark Tank, WWE, Warner Bros., McDonalds, SAG, DGA, WGA, Fleetwood Mac, US Polo Association, Conor McGregor, UMB Bank, Bank of America, K. Swiss, Everlast, etc
Royalty auditing is a niche service that has exploded in popularity over the last 20 years. The primary purpose of a royalty audit is to test whether a licensee has complied with a license agreement or statutory requirement. The royalty auditor is hired by an intellectual property owner (aka, licensor) or minerals owner to inspect the books and records of a licensee primarily to determine if usage-based monetary amounts have been paid as contractually required. In addition to monetary damage calculations, most royalty audits examine for breach of contract in a wide variety of areas, such as intellectual property protection, record keeping, distribution channels, and permitted usage.
This book navigates readers through the nuances of drafting the best possible financial terms for license and other self-reporting agreements and shows how proper monitoring and auditing should occur once a deal is in place. The 2014 Edition includes updated information on how to properly write the financial aspects of royalty contracts to protect the licensor, licensee, and other concerned parties. Additional sample terms and "real-world" agreements have also been included.
This book navigates the nuances of drafting financial terms for license and other self-reporting agreements and shows how proper monitoring and auditing should occur once a deal is in place. This book will modernize and remold how agreements are written and will greatly enhance the bottom line of licensors and other contractors. Lawyers involved in drafting license and other self-reporting contracts typically understand boilerplate provisions but not the financial nuances that are subject to high degrees of interpretation that eventually costs their clients significant money and business relationships.