Securities Expert Witness


Invest Securities Consulting, Inc.





Quoted in the Wall Street Journal September 24, 2018

(link to article)


Douglas Schulz, CRCP


Cover of Book, Brokerage Fraud


Order Now Button for Book, Brokerage Fraud


Reviews


The authors have taken the rules and regulations of the brokerage industry and put them in laymen’s terms. -- Professor William C. Tyson, The Wharton School & The Law School of the University of Pennsylvania


The Book, Brokerage Fraud is a must read for all compliance professionals and brokerage firm's compliance and legal departments.

Complinet.com


This book is a timely wake up call to the brokerage industry to clean up its ways. -- George D. Mullen, Vice President UBS PaineWebber


Tracy Stoneman and Douglas Schulz certainly know what Wall Street brokerage firms wish you didn't. -- Evan Cooper, Editor-in-Chief, On Wall Street, Co-Author


This book can save you thousands of dollars and loads of headaches! -- Jordan E. Goodman, author of Everyone's Money Book


Had "Brokerage Fraud" been available to my wife and I eight years ago, it may very well have saved us the fortune we lost to a mercenary industry that promotes itself as caring and responsible, when in fact it cares mostly for itself.


"Brokerage Fraud" is frank and friendly, organized, comprehensive, easy to digest -- and quite unique, too, because the distinguished authors tell all about an autonomous, all-powerful institution that routinely sheers the uninitiated."


". . . I am an attorney and an investor. Yet, I must say that each chapter of 'Brokerage Fraud' brought new information and insight that is invaluable . ."


Use the link below to get details, qualifications, certifications, licenses, as well as regulatory actions and violations or complaints on Brokers & Brokerage Firms.


link to FINRA for Broker Check

North American Ssecurities Administrators Association


icon to link NASAAContact State Regulators

- Search by state



(click icon to access site)


Investment Adviser - 

Search for an Investment Adviser Firm and Individual Investment Representative currently registered with the SEC and State Securities Regulators

icon linking to Public disclousure - SEC



(click icon to access site)

____________


Investment Adviser Data -

  • SEC Investment Advisers Report
  • State Investment Advisers Report
  • Investment Adviser Representative 

    Report


Latest Report - Download available

Investment adviser's report

(click icon to access site)

__________


U.S. SECURITIES 

EXCHANGE COMMISSION -


Icon for the SEC websiteTo protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

 (click icon to access site)

IF YOU ARE A BROKER OR INVESTMENT ADVISOR

Mr. Schulz regularly represents stockbrokers and investment advisors in their disputes with broker-dealers or registered advisory firm.  As an individual who is intimately knowledgeable and personally familiar with the relationship between the brokerage firms and their brokers/advisors, RIA’s and money management firms; Mr. Schulz is more than qualified to act as an expert in this field.  The areas where Mr. Schulz can most likely be of help to a broker would be in the area of licensing, defamation, contractual disputes and wrongful termination, and U-4 and U-5 supposed violations.    As to Investment Advisor Representatives, Mr. Schulz can be most helpful in the area of: duties, obligations, licensing requirements, employment disputes, outside business practices, selling away, Investment Advisor Act of 1940, compliance, supervision and regulatory inquiries.       

If you are a stockbroker, registered investment advisor, or some other securities professional and you as of yet have not hired a lawyer to represent you. You might consider contacting my wife, Tracy pride Stoneman, Ms. Stoneman is a nationally known securities attorney.