Where Expertise and Experience Meet!
Securities Expert Witness FINRA Securities Arbitration Expert Witness
Welcome to the home page of Douglas J. Schulz, a nationally recognized securities expert witness and the President of Invest Securities Consulting, Inc. Mr. Schulz is a Certified Regulatory Compliance Professional (CRCP) who has been hired in over 1,125 securities related matters. Mr. Schulz has testified in over 630 FINRA Arbitrations and civil cases regarding investment and brokerage disputes.
Invest Securities Consulting, Inc.
301 Snowcrest Road
Westcliffe, CO 81252
Proven Quality Over Time
Douglas J. Schulz, CRCP
Today’s securities industry and securities fraud have become
progressively multifaceted and complex. The new generation of
securities violations, schemes, and securities fraud truly necessitate
expert testimony. A securities expert witness’s testimony has become
vital in reaching a successful resolution in securities arbitration today.
Invest Securities Consulting
In The News
A client-focused and solution-based company with a proven record, Invest Securities Consulting, Inc. through its President, Douglas Schulz provides clients with a full range of services relating to the securities industry.
AREAS OF EXPERTISE
- FINRA & SEC Regulations
- Breach of Fiduciary Duty
- Securities Fraud Investigations
- Mutual Fund & Hedge Fund Mismanagement
- Self-Dealing & Front-Running
- Securities Fraud
- Investment Fraud
- Options, Stocks & Bonds
- Compliance Violations
- Supervisor of Registered Representatives
- Supervisory Violations and Lapses
- Due Diligence
- Concentration - Lack of Diversification
- Order Failure
- FINRA Arbitrations
- Securities Arbitrations
- Broker Standard of Care
- Broker/Brokerage Firm Malpractice or Malfeasance
- Stockbroker Violations
- Damage Calculations & Loss Analysis
- Damages & Punitive Damage Analysis
- Inconsistencies in Trading Activities
- Breach of Securities Regulations
- Breach of Broker Industry Norms & Standards
- Improper Sales of Limited Partnerships and Private
- Breach of Fiduciary Duty
- Compliance Obligations for Registered Investment Advisors,
- Securities Expert Witness
- FINRA Arbitration Expert Witness Testimony
- Fund Management Comparison & Analysis
- Due Diligence Investigation
- Litigation Support & Consultation
- Portfolio Analysis
- Portfolio Fees & Cost Evaluation
- Discovery Review & Recommendations
- Evaluation of Investment Strategies
Read what a few of our clients have said about working with Mr. Schulz
"My firm has worked with Douglas Schulz on two significant securities cases with three different clients. We enjoyed excellent results in both cases, in large part due to Mr. Schulz. His knowledge of securities regulations and the securities industry extends far beyond that of the most . . . Mr. Schulz also prepares extremely thorough, well-written, damages analyses and reports that always stand up to scrutiny. Mr. Schulz's testifying skills are equally impressive. . .
Daniel J. Broxup
Mika Meyers PLC
"Douglas, You were fantastic yesterday. As I said at lunch today, you cannot teach or learn the instincts and sense of timing you have in testifying. It is a God given gift. You either have it or you don't, and you do. Safe travels home."
Received from a prominent Phoenix securities attorney
"Let me be perfectly clear; you are one of (if not the) best and most helpful expert witnesses that I have ever had the pleasure of working with . . ."
Mark R. Bumgartner, Esq.
Pender & Coward, P.C.
August 21, 2014
". . . Once again, you have proven yourself to be the consummate securities expert. . . . The ability to make complex concepts understandable to the clients and to the finder of fact is a critical skill that you possess and demonstrate with aplomb. You are an invaluable asset to have in both hearing/trial preparation and at the hearing/trial itself. . . . Your knowledge of the securities regulations is masterful."
Christopher D. Lonn
"Thank you so much for the help and professionalism you brought to my defense. After the very successful result which you helped to bring about..it is clear in hindsight as well as at the time, the tremendous poise your professionalism and experience brought to bare. I wish you continued success and am grateful your skill and professionalism was available to my defense."
All the best, TP
Click to read more:
Brokerage Fraud book reviewed in Business Week Magazine
Douglas J. Schulz has co-authored a book with Tracy Pride Stoneman, distinguished securities lawyer about the brokerage industry. Douglas' book, was reviewed in the February 11, 2002 issue of Business Week Magazine!
" The imperative to be a skeptical investor is a lesson most of us learn the hard way. That's why you might do a favor for any friends who still use a stockbroker by giving them Brokerage Fraud: What Wall Street Doesn't Want You to Know (Dearborn, $24.95). The authors, Tracy Pride Stoneman, a lawyer specializing in securities-fraud cases, and Douglas Schulz, a former broker at Merrill Lynch who now acts as an expert witness in arbitrations, battle stockbrokers for a living. . . . they make enough of a case to get even very trusting investors to (wisely) think thrice about any broker's advice".
Mr. Schulz – Featured Speaker at the Wharton School of Business
Mr. Schulz was a featured speaker at a November 2010 Wharton School of Business, FINRA Institute's CRCP, Certified Regulatory Compliance Program. The program and dinner was to celebrate the 10 year anniversary of the FINRA/Wharton program and honor some of their more distinguished graduates. Mr. Schulz spoke on how securities experts work with compliance professionals and regulators. He was one of the very first graduates of the CRCP program, graduating in September 2001.
Mr. Schulz - Featured speaker at the Delaware Investment Education Conference 2005
Mr. Schulz was one of the nationally known speakers along with such famous investment executives such as John Bogle of Vanguard. The conference was sponsored by the Delaware Securities Commission to help educate investors. Additionally, Mr. Schulz conducted a course for the Delaware Securities Commission’s regulatory investment team.
Douglas Schulz appears in the movie, Navigating the Fog of Investing!! He is interviewed along with other luminaries, such as John Bogle, Arthur Levitt, and Jeremy Siegel.
Cick the image below to view Douglas Schulz's interview in this important documentary.