Directors & Officers Liability Expert Witnesses: 17

Expert witness testimony for complex litigation involving damage analyses of lost profits, reasonable royalties, lost earnings, and lost value of business, forensic accounting, fraud investigation, investigative analysis of liability, marital dissolution, and tax planning and preparation. Excellent communicators with extensive testimony experience. Prior Big Four accountants. Specialties include: accounting, antitrust, breach of contract, business interruption, business dissolution, construction defects, delays and cost overruns, fraud investigation, asset tracing, intellectual property including patent, trademark and copyright infringement and trade secrets, malpractice, marital dissolution, personal injury and employment litigation, product liability, real estate, securities, spousal support, taxation, unfair advertising, unfair competition, valuation of businesses, and wrongful termination.

Experts:

Business Litigation and Valuation Barbara Luna, PhD, CPA, CFE, ASA,     CVA, ABV, CGREA, CCRA, CREA Dean Atkinson, CPA, CFE, ABV, CAC, CFF John Luna, JD/MBA, CPA, ABV, CFF David Turner, CPA, ABV, CFF Drew Hunt, MBA, CPA, ASA

Personal Injury / Employment Litigation Barbara Luna, PhD, CPA, CFE, ASA,     CVA, ABV, CGREA, CCRA, CREA Venita McMorris, MA

Dr. Barbara Luna is the partner in charge of the commercial litigation department of White Zuckerman. She has been providing Forensic Accounting, Economic Damages, Valuation, and Expert Witness Services for the past 30 years and has testified in court over 450 times. She has a PhD in Applied Mathematics from Harvard University with application to Physics and Finance and a BA in Physics from Wellesley College. Barbara is a Certified Public Accountant, a Certified Fraud Examiner, an Accredited Senior Appraiser in Business Valuation, a Certified Valuation Analyst, Accredited in Business Valuation, a Certified General Real Estate Appraiser, and a Certified Financial Forensic. She previously was a partner with Coopers & Lybrand and has taught working capital management, business finance, forensic accounting and intermediate accounting at UCLA Graduate School of Management, California State University at Northridge and Pepperdine University.

Dean Atkinson is a partner in the commercial litigation practice of White Zuckerman. He has testified as an expert witness in Commercial Litigation and Family Law Matters and has been involved in Resolution and Settlement Negotiations since 1987. He holds credentials from the AICPA as a Certified Public Accountant, Accredited in Business Valuation and Certified Financial Forensics and from the Association of Certified Fraud Examiners. Dean is experienced and has qualified as an expert in business valuation, business litigation and family law matters.

John Luna is a partner in the commercial litigation practice of White Zuckerman. He analyzes Financial, Accounting, Economic Damages, Business, Real Estate and Valuation issues and testifies as an expert witness on his findings. He has been an investment banker with Macquarie Capital, GCA Savian and Lazard. John has a JD from UCLA School of Law (Order of the Coif), an MBA from UCLA Anderson School of Management (Edward W. Carter Fellow), and an AB in Engineering Sciences from Harvard University. He is a Certified Public Accountant, Accredited in Business Valuation, a Certified Financial Forensic and a member of the California Bar.

Venita McMorris is a partner and an Economist in the Personal Injury and Employment practice of White Zuckerman. She has been providing economic damages and expert witness services for over 20 years and has testified extensively in court. She has a Master of Arts degree in Economics from California State University, Fullerton and a Bachelor of Arts degree from San Diego State University. She previously was a manager with Coopers & Lybrand and an economist with a medical malpractice trust in Southern California. Venita has taught macroeconomics and microeconomics to college students at Pasadena City College as a full-time tenured instructor and at Glendale Community College as a part-time instructor.

Los Angeles 15490 Ventura Boulevard, Suite 300 Sherman Oaks, CA 91403 Phone: (866) 981-4266 or (818) 981-4226 Fax: (818) 981-4278 Email: expert@wzwlh.com Website: www.wzwlh.com

Orange County 4 Park Plaza, Suite 200 Irvine, CA 92614 Phone: (949) 219-9816 Fax: (949) 219-9095 Email: expert@wzwlh.com Website: www.wzwlh.com

Areas of Expertise:

Bank Governance Commercial Credit Underwriting Real Estate Financing Collections Loan Workouts Regulatory Response Credit Review and Examination

Due Diligence Consent Orders Lender Liability Breach of Good Faith Wrongful Defaults Control and Interference Duress and Coercion.

Dr. BJ Hawkins, PhD, CLPF, is a Licensed Professional Fiduciary and a Business Expert who demonstrates a comprehensive understanding and knowledge of the duties and responsibilities of a Conservator and of a Trustee irrespective of the size or complexity of the Trust or the Conservatorship. 

Background Experience - Dr. Hawkins has more than 30 years of experience as a business executive with successful executive leadership in profit and loss, strategic planning and technology implementation. She has held C level and CEO positions involving crisis management, turnaround, and process re-engineering. Dr. Hawkins has headed multi-disciplinary teams that have implemented complex business solutions. She has manufacturing, supply chain, and professional service experience.

Dr. Hawkins' knowledge base includes analytical, academic, and functional expertise. She has had Court/Judicial appointments as a Trustee and a Conservator. The Court appointments have included highly contested matters and the need to rectify previous breaches of fiduciary duty and/or malfeasance.  She has been designated and testified in cases involving Trustee and Conservator Breach of Fiduciary Duty and malfeasance.  

In 2018, the State of California recognized Dr. Hawkins' expertise as a Fiduciary and knowledge of the tenets of the profession by an appointment to serve on the California Fiduciaries Bureau’s review committee on licensing. She is a former two-term President of the Greater Los Angeles Forensic Expert Witness Association (FEWA) and a multi-term past member of the FEWA National Board of Directors.  

Litigation Support - With 10 years of experience as a Professional Fiduciary and 14 years of experience as an expert witness, Dr. Hawkins has the expertise, skills, and experience to provide exceptional litigation support and expert testimony.  She has been designated and testified in Breach of Fiduciary Duty cases involving corporate officers and corporate governance. She has also been designated in cases involving breach of Spousal Fiduciary Duty and Financial Elder Abuse.   

Dr. Hawkins has been retained as an Expert Consultant and case advisor in a variety of business disputes including C-level corporate and partnership disputes and litigation involving closely held and family-owned businesses. An additional area of expertise is roles and responsibilities of a Trustee as dictated by the Uniform Prudent Investment Act (UPIA). Dr. Hawkins has testified in Mediations, Evidentiary Hearings, Depositions, and in Trials in Superior and Federal Court as well as before fact finding, legislative, and regulatory bodies.

Areas of Expertise:

Business Disputes Fiduciary Disputes Contested Trusts Heir Disputes Beneficiary Disputes Complex Business Issues Breach of Fiduciary Duty / Responsibility Self-Dealing Financial Wrongdoing Breach of Contract Corporate Governance Directors and Officers Competence and Compliance

Family-Owned Business Disputes Partnership Disputes Closely Held Business Disputes Breach of Spousal Fiduciary Duty Fiduciary Mismanagement Trustee, Executor Mismanagement Conservator Bad Conduct Disparity Institutional Racism Diversity and Inclusion Diverse Business Enterprises Minority Vendor and Supplier Disputes

Lezlee Liljenberg, CIC, CRIS, MLIS, PA, MA, entered the Insurance business in 2004 as she started her first agency from ground zero, growing the business to over $6 million in revenue in less than 12 years.

Ms. Liljenberg holds a BA in Journalism/Public Relations and a MA in Political Science/Public Administration from the University of Texas at Arlington. She is a Professional Financial Representative holding licenses as 6 & 63 Securities, a Property & Casualty Agent, Life & Health Agent, Risk Manager, Public Adjuster, and Texas Real Estate Broker.

She is well-known in the insurance and real estate industries for her responsiveness, knowledge, and professionalism in handling situations in both of these industries. Her 36 years of contractual knowledge is extensive and is strengthened by her years as a Commodity Electricity trader during Deregulation in 2001.

Litigation Support - Ms. Liljenberg provides Insurance Expert Witness services to attorneys representing plaintiff and defendant. She offers thorough reporting, depositions, and trial testimony as needed.

Areas of Expertise:

Insurance & Real Estate Agents Errors & Omissions Insurance & Real Estate Bad Faith Life & Supplemental Health Benefit Claims Personal Auto Homeowners Insurance Product Liability Insurance Commercial Auto Insurance Commercial General Liability Commercial Umbrella Professional Liability Insurance

Directors & Officers Liability Product Liability Employment Practices liability Business Interruption Flood Insurance Inland Marine Insurance Boiler & Machinery/Equipment Breakdown Farm & Ranch Owners Watercraft/Boats Personal Umbrella

William R. Legier is a Certified Public Accountant, Certified Fraud Examiner, and Certified in Financial Forensics. With over 51 years in business, he has extensive forensic accounting and complex commercial litigation experience.

Mr. Legier is a former senior accountant for Arthur Andersen & Company, international CPA firm, and a former chief financial and operating officer for a $100 million diversified corporation. He currently lectures on accounting, finance, tax, business and business information technology, management control systems, business valuation, fraud, and forensic accounting to groups sponsored by RCA, IBM, Louisiana State University, Tulane University, A. B. Freeman School of Business, University of New Orleans, and other leading companies and institutions

Litigation Support - Mr. Legier's expert witness services include the forensic analysis and explanation of complex financial transactions with the use of advanced automated graphic design and display techniques. He provides testimony in Federal and State Courts throughout the US for leading national law firms and Fortune 100/500 companies in areas including:

Calculating Lost Profits Fraud Detection and Recovery Mismanagement Bankruptcies Appointment of Receiver Business Valuations Shareholder Disputes Evidence of Ownership Identification of Hidden Assets Corporate Veil Piercing Business Interruptions Single Business Enterprises Accounting Malpractice Marital Dissolution Separate and Community Property Spousal Support Tracing

Lost Earnings Personal Injury Intellectual Property Patent / Trademark / Copyright infringement Trade Secrets Reasonable Royalties Investigative Accounting Breach of Contract Breach of Fiduciary Duty White Collar Crime Real Estate Securities Product Liability Business Dissolution Construction Defects, Delays, and Cost Overruns Wrongful Termination Data Analytics

Jay Hibert was in the Commercial Banking Industry for over 37 years before leaving to form his own company, a real estate lending and consulting company. The company provides services to banks, non-banks, and individuals in need of creative financing solutions.  Still an ACTIVE lender in the industry, Jay stays updated on current customs and practices and has transacted hundreds of real estate and non-real estate loan negotiations in times of economic growth as well as downturns in the economy. His extensive credit background arms him with the understanding of how banks and other lenders operate internally.  

Litigation Experience - Mr. Hibert has been providing expert witness and consulting services since 2010. He has been designated over 175 times as an expert in 17 different states concerning matters relating to commercial lending, real estate, construction finance, SBA loans, brokerage, hard money loan expert and investment issues. His experience includes both Federal and State court cases where he has provided deposition testimony, trial testimony and arbitration testimony. 

Jay is a licensed Real Estate Broker (CalBRE #01523) and for 10 years his company was a California Finance Lender and Broker through the California Department of Business Oversight. He is experienced in trial and deposition testimony and his services are available to counsel representing both Plaintiff and Defense. 

Key areas of expertise in litigation work include:

• SBA Real Estate Loans
• Hard Money Loans
• Lending Policies, Custom and Practice/Lender Liability
• Broker Standards of Care and Fiduciary Responsibility
• Loan Underwriting and Credit Administration
• Loan Process and Bank Loan Restructure/Workout Process
• Note Valuations/Collateral Review
• Litigation and Discovery Consulting
• Banking Operations/Administration
• Expert reports adherent to Federal Rule 26
• Hard Money Lending
• SBA Lending
• Loan Syndication/Secondary Market Loan Sales
• Title Insurance Cases
• Private Money Lending

*****Experienced in trial and deposition testimony*****

View Jay Hibert's Consulting Profile.

Dwight E. Geddes, CCP, ACP, is the Founder of Metro Claims & Risk Mgmt and The Geddes Mgmt Group, based in New York. Mr. Geddes has over 30 years of civil litigation experience and specific expertise in insurance disputes. He has expert knowledge of Property and Casualty Insurance Procedures, Regulatory Compliance, and Good Faith Practices. Mr. Geddes has been retained as an Expert Witness on several complex claims.

Areas of Expertise:

Breach of Contract Negligence Negligent Misrepresentation Bad Faith Insurance Fraud Insurance Standards & Practices

Coverage Disputes  Insurance Claims Protocol Personal Injury Claims Automobile Claims Property Claims Regulatory Compliance

Mr. Geddes is a Certified Mediator with both the Unified Court System of New York and the American Arbitration Association, bringing to bear as a neutral over two decades of experience evaluating, negotiating, and resolving high-value, complex property AND casualty claims. 

Over the last 12 years, he has conducted CE/CLE credit webinars and presentations nationally on good faith claims handling, insurance fraud, risk management, automobile insurance, catastrophe property trends and DE&I topics. He also trained insurance professionals (adjusters, underwriters, attorneys, brokers and investigators) nationwide on claims handling protocol and successful techniques for investigating and defending insurance claims.

In addition to being a published fiction author, Mr. Geddes has written articles for several industry trade publications including Claims Advocate, Risk Management Magazine, Construction Claims & CLM Magazine and currently serves on the board of the National African-American Insurance Association.

View Geddes Mgmt Group's Consulting Profile.

As a forensic accountant and testifying expert in the areas of Fraud, Business Valuation, and Economic Damages, Ted Phelps excels in following the money – no matter where the trail leads.

During his four decades as a financial problem solver, Phelps has built a reputation for integrity, diligence, and leadership. He has testified as an expert witness in both federal and state courts. When working as a court-appointed neutral, he assists the court in carrying out its orders, performs forensic investigations, and reports his findings.

His testimony has been critical to the outcome of many significant cases. For example, Phelps was instrumental in a fraud/forensic investigation that led to a verdict of $21,000,000. He also performed a court-ordered forensic study involving a 14-year reconstruction of books and records on eight single asset real estate entities, conclusively proving that plaintiff's allegations of fraud were false.

Phelps is skilled in the fields of insolvency, reorganization, and restructuring. As a court-appointed fiduciary, he has completed dozens of business receiverships, many of which involved fraud and shareholder oppression issues.

As the founder and president of FVLS Consultancy, Phelps developed and taught a forensic accounting course at California State University, Los Angeles. He currently teaches classes in Accounting and Fraud Investigation at Whitworth University in Spokane, Wash.

Phelps earned his M.B.A. from Whitworth University and his B.S. in Accounting from the University of Southern California, Marshall School of Business. He also studied Engineering at the United States Naval Academy. He is a member of the Association of Certified Fraud Examiners and the National Association of Certified Valuation Analysts.

Areas of Expertise:

Insolvency Business Valuation Corporate Turnarounds Economic Damages

Fiduciary Appointments Forensic Accounting Fraud Investigations Shareholder Lawsuits

View Theodore Phelps' Consulting Profile.

Frederick J. Fisher, JD, is the President of Fisher Consulting Group, Inc., a Professional Liability firm. Since his career began, Mr. Fisher focused on one vision: providing financial security to the client. The result was a successful 40 year career in Specialty Lines Insurance.

Mr. Fisher provides Expert Witness services and Litigation Strategies to attorneys representing Plaintiff and Defense. He testifies regularly as an expert witness in cases dealing with:

• Insurance Broker Standards of Care
• Real Estate Broker Standards of Care
• Third Party Administrator Standards (TPA)
• Claims Handling and Bad Faith
• Wholesale Broker Policies with "gotchya's"

Background Experience:

• For almost 20 years, Mr. Fisher was the Founder of E.L.M. Insurance Brokers, a Wholesale & MGA facility specializing in Professional Liability and Specialty Line Risks. In 1995, he formed what is now known as ELM insurance Brokers, a firm that has acted as an MGA and Wholesale Broker of Professional Liability Insurance and Specialty Lines. From nothing, the firm grew rapidly to a $30 Million dollar facility when sold in 2008
• Mr. Fisher began his career on the service side, as an Independent E&O claims adjuster. In 1982, he bought the Company. In only 4 years, the annual billings increased by 400%
• In 1989, Mr. Fisher became a Founding Member of the Professional Liability Underwriting Society (PLUS), and was elected to the PLUS Board of Trustees in 1993. After serving in all Officer capacities, he was elected President in 1997. He remains a Special Materials Expert for several RPLU courses and is the Senior Technical Advisor for The Professional Liability Manual, first published by the International Risk Management Institute in 1990

For more information on his Litigation Support Services, Email Frederick Fisher at: fjfisher@fishercg.com

View Frederick Fisher's Consulting Profile.

David D. Gibbons has 45 years of experience in Banking, Risk Evaluation and Risk Management, and Bank Regulation. He is widely recognized as an accomplished financial services executive with unique perspectives as a Former Chief Risk Officer HSBC, former Senior Bank Regulator (both policy and supervision), Chief Risk Officer, Deputy Comptroller for Credit Risk and Troubled Banks at Office of the Comptroller of the Currency, and Banking Consultant (shadow regulator).

Litigation Support - Mr. Gibbons provides expert consulting and expert testifying services to the financial services industry. He has participated in over 20 expert witness engagements in banking, bank regulation, credit and lending, and financial services. Mr. Gibbons is a trusted advisor to banks on regulatory, risk, and compliance matters, particularly troubled banks. He is effective both as an individual contributor or in team leadership role.

Areas of Expertise:

Banking Banking Supervision Banking Compliance Risk Banking Regulation and Enforcement Troubled Institution Identification / Remediation Enterprise Risk Management Commercial and Retail Credit Lending and Credit Risk Evaluation / Risk Management

Board Governance and Oversight Director and Officer Insurance Disputes Unfair, Abusive, and Deceptive Practices FDIC Loss Sharing Disputes Liquidity / Capital Adequacy Contingency Planning Safety Soundness Management Effectiveness

Honors / Awards - Mr. Gibbons has been honored with the following awards for his service in the field of Banking / Finance:

• Hugh McCulloch Award
• U.S. Department of the Treasury Special Act Awards
• U.S. Department of the Treasury Silver Eagle Awards
• U.S Department of the Treasury, Office of the Comptroller of the Currency

View David D. Gibbons and Company's Business Consulting Profile.

Wayne Citron has 45 years of experience as an expert in Forensic Reconstruction of Insurance Transactions. He is an insurance expert and consultant.

Litigation Support - Wayne Citron specializes in policy interpretation of the rules, laws, and regulations governing insurance and financial matters. His services are available to attorneys representing plaintiff and defendant and include effective reports, affidavits, depositions, and testimony as needed.

Areas of Expertise:

Insurance Bad Faith Insurance Customs and Practices Insurance Health / HMO / Disability

Insurance - Life & Annuities Property / Casualty Insurance Insurance Agents & Brokers - Standard of Care

Mr. Citron established the Citron Agency and CMC Advisors Inc. in 1972, where his duties included executive and managerial responsibilities, sales, service, compliance with all insurance matters as well as securities laws and regulations. Both firms are leaders in life, health, disability and property and casualty insurance.

Mr. Citron is an expert in all forms of insurance, including:

Life Insurance Health Insurance Property and casualty Insurance Disability Insurance Annuities Retirement, IRAs & Pensions

Flood Insurance Broker Malpractice / Bad Faith Profit Sharing Group Coverage Self-insurance Insurance Laws / Regulations

Mr. Citron has served as an instructor for Prudential Insurance Company Brooklyn Agency (1973) educating personnel in general insurance matters, underwriting, and insurance law. He has worked with companies including Prudential Insurance Company, United States Life Insurance Company, North American Company for Life and Health Insurance, American General Life Insurance Company, William Penn Life Insurance Company, American Life Insurance Company, Chubb Insurance Company, Travelers Insurance Company, Mass Mutual Insurance Company, John Hancock Insurance Company, and American International Group (AIG), among other.

View CMC Advisors' Consulting Profile.

Jane Marie Downey, M.Ed, ARM, has 35 years of experience in Risk Management and Property, Casualty, and Professional Liability Insurance. A well-known risk management consultant, leadership trainer, and frequent public speaker, she provides risk consulting, insurance broker management, outsourced risk management, insurance arbitration, as well as leadership and team training.  Background - Ms. Downey’s corporate experience includes risk management positions with IU International, PaineWebber Group, Inc., and The West Company. She also worked as an Account Executive in insurance brokerage with the Hobbs Group. She taught Risk Management at Temple University's Fox School and Crisis Management at Penn State's Graduate Program. She currently teaches Continuing Educations courses for agents and attorneys for the Institute of Strategic Educational Partners.

Litigation Support - Ms. Downey has provided expert opinions on policy language, coverage disputes, brokerage E&O and standard of care, risk control and risk management standard. She has successfully provided litigation support, testimony, depositions, certifcates of merit and expert opinions in over 60 legal actions. Ms. Downey Jane has represented both insureds and insurers and clients and brokers. 

Areas of Expertise:

Property Insurance Insurance Arbitration (ARIAS Trained) Insurance Carrier Bad Faith Broker / Agent Liability

Financial Institutions Coverage Directors and Officers Liability Insurance Pollution and Asbestos Liability Coverage Workers Compensation / Employers Liability Insurance

View Jane Downey's Consulting Profile.

Marguerita M. Cheng, CFP®, CRPC®, RICP®, CDFA™, Chief Executive Officer at Blue Ocean Global Wealth, is a Certified Financial Planning Expert with 18 years of experience. Prior to co-founding Blue Ocean Global Wealth, she was a Financial Advisor at Ameriprise Financial and an Analyst and Editor at Towa Securities in Tokyo, Japan. Ms. Cheng is a past spokesperson for the AARP Financial Freedom Campaign and a regular columnist for Investopedia & Kiplinger. She is a CFP® professional, a Chartered Retirement Planning CounselorSM, a Retirement Income Certified Professional® and a Certified Divorce Financial Analyst. As a Certified Financial Planner Board of Standards (CFP Board) Ambassador, Ms. Cheng helps educate the public, policy makers, and media about the benefits of competent, ethical financial planning. She served on the Financial Planning Association (FPA) National Board of Directors from 2013 – 2015 and is a past president of the Financial Planning Association of the National Capital Area (FPA NCA). 

Marguerita Cheng CNBC Interview on Social Security 

Awards and Honors - Ms. Cheng is a recipient of the Ameriprise Financial Presidential Award for Quality of Advice and the prestigious Japanese Monbukagakusho Scholarship. In 2017, she was named the #3 Most Influential Financial Advisor in the Investopedia Top 100, a Woman to Watch by InvestmentNews, and a Top 100 Minority Business Enterprise (MBE®) by the Capital Region Minority Supplier Development Council (CRMSDC).

Litigation Support - Ms. Cheng serves as a Women’s Initiative (WIN) Advocate and subject matter expert for CFP Board, contributing to the development of examination questions for the CFP® Certification Examination. She also volunteers for CFP Board Disciplinary and Ethics Commission (DEC) hearings. Services to attorneys representing plaintiff and defendant include financial due diligence, thorough reporting, depositions, and trial testimony as needed.

Areas of Litigation Expertise:

Financial Planning Issues Social Security Elder Financial Abuse

Financial Planner Standard of Care Financial Planner Code of Ethics Investor Rights

Brian H. Kelley is a seasoned Banking Executive, Lender, and Attorney with over 30 years of experience in lending, top management, and legal positions for both regional and larger commercial banks in California, Arizona, Washington, and Oregon. He has served as the CEO of three successful community banks and the head of a Multi-Billion Dollar lending group with a large international bank.

Litigation Support - Mr. Kelley provides expert testimony and litigation support to attorneys representing financial institutions, businesses, and individuals. His expert witness services include analysis of key issues, case strategy, depositions, opinions, and court testimony.

Mr. Kelley's expertise has been called upon in State, Federal, Bankruptcy, and Arbitration Courts, having testified on behalf of FDIC, major banks, and financial institutions. He is a qualified expert in eights states and the District of Columbia.

Areas of Expertise:

Consumer and Commercial Lending Loan Underwriting Bank Operations Bank Compliance Federal and State Regulation Credit and Collection Practices

Bank Governance Lender Liability Loan Policy and Guidelines Loan and Credit Review Loan Workout Loan Modification and HAMP Programs

Education / Training: BA and JD from Brigham Young University. Extensive professional course experience in loan underwriting, credit analysis, corporate finance, lending practices, etc.

Degrees / Certifications: Admitted to the California, Utah and Hawaii Bar Associations. Past Director of Western Independent Bankers, California Bankers, American Bankers Association and Mortgage Bankers of America.

View Brian Kelley's Consulting Profile.

John T. Foster is the President and CEO of Bedford and Main Financial Consulting, which provides specialized consulting services primarily for broker-dealers and RIAs. Bedford and Main is listed in the FINRA Compliance Vendor Directory. 

Mr. Foster calls upon his in-depth knowledge of broker-dealer management, operations and compliance to offer expert opinions and testimony. He has testified for both sides of the legal table in civil cases and FINRA arbitrations, promoting high standards of fairness for broker-dealers. 

Mr. Foster specializes in clearing services and industry infrastructure litigation, along with Anti-Money Laundering (AML) issues for broker-dealers. Prior to founding Bedford and Main in 2011, he worked for 13 years in level positions for a large, multi-national clearing firm, allowing him to develop expertise with foreign accounts and anti-money laundering issues. He later served as the President/CEO of an independent broker-dealer, where he was responsible for a retail-based business and online brokerage services. The experience provided John with a uniquely relevant understanding of core SEC and FINRA compliance issues, such as suitability, supervision, senior issues, churning, and written supervisory procedures. He is proficient in matters related to client and firm interactions with both Financial Advisors and Online firms.

Advantages of our litigation services:

• Senior Level Experience - Decades of diverse high-ranking management experience in the broker-dealer industry.
• Previously held Series, 3,7,24, 27, 63.
• Still Actively Engaged – John's expert witness business is a natural extension of his core consulting services. He is a CAMS Certified Anti-Money Laundering Specialist who annually conducts many independent AML reviews. John is also certified as a FINRA Dispute Resolution Arbitrator

- It would not be possible to hold to our standards of supporting the industry if we were not selective as to specific issues and our ability to ethically provide an expert opinion.

Areas of Expertise:

Clearing Firms / Broker-Dealer Operations Suitability Supervision Churning Senior Issues Online Web Brokers Complex Corporate Actions SEC Direct Market Access (15c3-5)

FINRA Compliance Anti-Money Laundering Specialist (FINRA 3310) Written Supervisory Procedures (WSPs) Foreign Accounts Private Security Transactions Outside Business Activities Master Accounts and Sub-accounts (FINRA 10-18) Financial Advisor Supervision

View John T. Foster's Consulting Profile.