Finra Arbitration Expert Witnesses

San Diego, California

Securities & Investments, Financial - Securities Fraud, Breach of Fiduciary Duty, Standard of Care, Investment Fraud, NAV / Valuation Disputes, Financial Services Fraud, Investment Fund Disputes, Conflicts of Interest, Regulatory Compliance, FINRA Arbitration, Misrepresentation, Negligence, Fee Disputes, Due Diligence, Derivatives, AML, Hedge Funds, PPM, Side Letters, CFTC

Patrick Kelly provides expert analysis in complex financial matters involving securities and financial services fraud, breach of fiduciary duty, conflicts of interest, valuation disputes, fee disputes, disclosure practices, and regulatory compliance. He is available for case review, merit analysis, consulting, expert report preparation, rebuttal analysis, and testimony. His hedge fund management, financial regulatory, and fiduciary experience, combined with his engineering background, provide a disciplined analytical approach to complex financial matters. He is a Registered Investment Adviser (RIA) representative and former hedge fund founder and manager with experience in derivatives, valuation, and regulatory compliance. He oversaw all aspects of hedge fund operations, including structuring, governance, offering and disclosure documents, portfolio management, financial reporting, investor communications, and fund winddown. He has successfully completed three routine regulatory ...

Columbus, Ohio

Securities & Investments, Arbitration/Mediation - Securities litigation, FINRA arbitration, Advisor suitability, Investment products, Structured notes, Annuities, Buffered ETFs, Complex derivatives, Advisor conduct, Compensation conflicts, Reg BI violations, Trading and execution quality

Jason L. Thompson is an investment professional with over two decades of experience in trading, portfolio management, and advisor support. Through Trust But Verify, he provides expert witness and consulting services focused on advisor conduct, product suitability, compensation conflicts, and trading practices in FINRA arbitration and civil litigation. Relevant Experience: Investment Manager for an Ameriprise Private Wealth Advisory practice managing $400M+ in client assets Firsthand experience with advisor documentation, compliance, and operational workflows Fifteen years in institutional fixed-income trading and structured products with firms including Lancaster Pollard, Huntington Investment Company, UBS, National City Bank, and Fidelity Investments Executed and distributed structured notes, municipal bonds, and derivatives across retail and institutional markets Areas of Expertise: Advisor conduct, suitability, and compensation structures Derivatives modeling and trading ...