Securities Areas of Expertise
Registered Representative Abuse of Discretion
 
Broker-Dealer Supervision
 
Breach of Fiduciary Duty
 
Intra-Industry Compensation Disputes
 
Damage Analysis vs. Well Managed Account
 
Due Diligence in Regulation D Offerings
 
Broker-Dealer Employment Issues
 
Fiduciary Standard of Care for Financial Advisors
 
Financial Advisor Misrepresentation
 
Stockbroker Negligence
 
Registered Representative Outside Business Activities
 
Exchange-traded Fund (ETF) Suitability
 
Corporate Bonds
 
Hedge Funds
 
Suitability of Asset Allocation
 
Ponzi Schemes
 
Registered Investment Advisor (RIA) Regulations
 
Concentrated Securities Position
 
FINRA Rules & Codes
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