Jason L Thompson

Columbus, Ohio
Jason L Thompson Expert Witness
Curriculum Vitae

Securities Expert – FINRA & Advisor Conduct

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Specialties & Experience of this Expert Witness

General Specialties:

Securities & Investments and Arbitration/Mediation

Keywords/Search Terms:

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

Education:

BA, Miami University

Years in Practice:

20

Number of Times Deposed/Testified in Last 4 Yrs:

0

Additional Information

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 Structured products, annuities, and illiquid fixed-income investments Trading and execution quality, mark-ups/mark-downs, and best execution practices Operational and documentation failures within advisory practices Known for translating complex financial concepts into plain language, Mr. Thompson helps counsel and arbitrators understand what happened, why it happened, and whether it meets industry standards of care. Education & Credentials: B.A., Psychology – Miami University FINRA Series 7 & 66 (maintained through 2025) Ohio Life & Health Insurance License (maintained through 2025) Based in Columbus, Ohio, available for plaintiff or defense representation nationwide.