Securities Expert Witness

Invest Securities Consulting, Inc.

Douglas Schulz, CRCP

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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.

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 . ."

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MEET MR. DOUGLAS SCHULZ - The Professional 

At the top of his profession, Mr. Schulz enjoys a nationwide reputation in the securities industry.


An aggressive, well seasoned securities expert who has been hired in more then 1,140 securities related issues and who has testified over 637 times.

Diversity. Enthusiasm. Down-to-earth wisdom and counsel.

Whether it is in arbitration, federal, or state court Mr. schulz provides a high-level of energy and insightfulness. Clients appreciate his straightforward approach and the fact that he is one of the country's leading securities expert witnesses. 
Mr. Schulz began his career as a securities expert witness in 1989 and has been hired in more then, "1,140" cases and has delivered testimony over, "637" times. His knowledge and years of experience combine to make him an excellent choice for a securities expert witness. 
Mr. Schulz was an arbitrator for the National Association of Securities Dealers (NASD/Now FINRA) and the New York Stock Exchange (NYSE) and is currently a FINRA arbitrator. He has taken arbitrator classes and is qualified as an Arbitration Chairman.  Calling upon his more then 37 years of securities and investment knowledge, Mr. Schulz has more experience then the vast majority of attorneys and most experts who specialize in the securities arena . Being both an arbitrator and an expert witness, Mr. Schulz is able to appreciate both roles.

He truly cares about his clients and fights for what is important to them.

P. VanEckhardt

In testimony. Mr. Schulz is brilliant, well-spoken, and charismatic.


Being one of the most sought-after securities expert witnesses, Mr. Schulz has been quoted in, has appeared on, or has been heard on many of the country's foremost publications and/or radio/TV stations.*

*(#) indicates the number of times quoted or on-air by organization


Wall Street Journal (6), American Lawyer, Money Magazine (2), Newsweek, Forbes, New York Times (5), BusinessWeek (3), Kiplinger’s Personal Finance (2), Dow Jones, The Street Chicago Tribune, USA Today (2), Registered Representative, Complinet, The Boston Globe, Investment Advisor, Financial Times (London), Institutional Investor (2), Boardroom Inc., Medical Economics Journal (2), Sun-Sentinel, Times Record News, Dallas Business Journal, Dallas Morning News, Tampa Tribune, St. Petersburg Times, Colorado Springs Business Journal, The Denver Post (3), The Charlotte Business Journal, Philadelphia Inquirer, Upside, World Money Laundering Report (2), Richmond Business Journal, Rocky Mountain News, Bloomberg News, The Oregonian, Florida Today, AAII Journal, The Charlotte Observer, Lawyers Weekly USA, On Wall Street, St. Louis Business Show


CNNFN “The Money Gang”; WNYW-TV FOX “Good Day New York; KTVK-TV “Good Morning Arizona”; KFNN-AM Phoenix; WEBFNTV “Ask the Experts”; KNX-AM (CBS) Los Angeles; Yahoo Finance Webcast; New York 1 Cable “Fortune Business Report” KUOW-FM Seattle, WSAR-AM Providence; WEIM-AM & WBIX-AM Boston; NBC Bay Area News, San Francisco; WABJ-AM Toledo; KBEM-FM Minneapolis; WPTT-AM Pittsburgh; WXRC & WIRC Charlotte; WFTL & WORL Miami; KWIP & WEVL Poughkeepsie; KCMN-FM Colorado Springs, Powernomics Syndicated Radio; WMTR-AM “Your New Jersey Connection” KFAB-AM Omaha; KKTV Colorado Springs; KRDO Colorado Springs; CBS-WBBM Chicago “Noon Business Hour” (3)

Mr. Schulz spends a great deal of time in the area of education of investors and attempting to work with the regulators in improving the securities markets and environment for the investor. He has spoken and testified before numerous state and federal elected representatives. He participated in the Ruder Task Force and often works with investigators on a state, federal and local level.



Douglas Schulz is a complex man who has made a very successful career in one of the most stressful avocations, the securities industry.

By day, he is a securities expert witness and at 64 years old still spends 10 hours a day, six days a week preparing case work to testify nationwide before securities arbitration panels, in state, or federal courtrooms.  Due to his work schedule and ethics, daily walks and time to observe wildlife at his Colorado home is not always possible. However, when time permits, Douglas joins his greatest loves, wife Tracy and their two Alaskan Malamutes, Dimitri & Tevia for walks in the hills surrounding their home balancing the hectic world of the securities/financial industry and his love of wildlife.