Securities Clearing Expert Witness

Expert Securities Industry Services

With decades of experience in clearing operations, brokerage management, and regulatory compliance, he provides expert witness and consulting services across all facets of the securities industry. His expertise ensures firms, legal teams, and regulatory bodies receive informed analysis and authoritative insights.

Comprehensive Service Offerings

Clearing & Brokerage Operations

  • Operations Processing
  • New Account Procedures
  • Case Evaluation
  • Introducing Firm/Clearing Firm Relationship
  • Clearing Agreement Review

Regulatory Compliance & Risk Management

  • Suitability Standards
  • Security Investor Protection Act
  • Money Market Sweep Programs
  • Blue Sky & FINRA Rule Process
  • Net Capital Issues (15c3)
  • Reserve Calculations
  • Anti-Money Laundering (AML) for Clearing & Introducing Firms

Trading & Settlement Expertise

  • Account Transfer Process (NYSE 412)
  • Margin & Security Transfers
  • Third-Party Transfers
  • DTCC Issues & Certificate Processing
  • NSCC Risk Deposit
  • Front-End Order Management Systems (OMS)
  • Market Making Issues
  • Trade Uploads & Contra Party Settlements
  • Fails (Receive & Deliver)
  • Order Routing Disclosures

Regulatory Investigations & Internal Audit

  • FINRA Regulatory Investigations
  • Internal Audit & Compliance Reviews
Securities Clearing Expert Witness

Get Expert Guidance Today

Navigating complex securities operations and regulatory issues requires deep industry knowledge and firsthand experience. Contact him today to discuss how he can support your case or business with expert analysis and testimony.

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