Investment Advisor

An investment advisor is an individual or firm that advises clients on investment matters on a professional basis.

Case Study

Securities Brokerage Expert in SEC Rule 144 and 145

A securities brokerage expert with specific knowledge of SEC Rule 144 & 145, was sought for a negligence case alleging reckless misrepresentation and unreasonable delay in action.

Case Study

Fiduciary Duty Expert in Collateralized Debt Obligations

A fiduciary duty expert in fiduciary duty securities law and disclosure obligations was needed for arbitration in a failure to disclose issue.