Expert Witness
- An RRS team member was engaged as expert witness in a FINRA Arbitration on behalf a broker-dealer for claims of defamation with regard to comments made on the Form U5 filed pursuant to FINRA rules. This engagement required in depth familiarity with FINRA/NASD rules, policies and practices relative to a member’s reporting obligations when completing and filing Form U5.
- An RRS team member was engaged by a broker-dealer as the expert witness in a FINRA Arbitration involving selling away by a registered representative, and the issue of alleged failure to supervise on the part of the employing broker-dealer. This engagement required extensive knowledge of FINRA Rules 3040 and 3010, among others.