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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 . ."


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U.S. SECURITIES 

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WHY HIRE INVEST SECURITIES CONSULTING?

Mr. Schulz stands out among other securities experts. Because of his having been totally engrossed in the securities markets and rules and regulations of the brokerage industry for the last 35 years, he brings an above average perception and knowledge to the process. His unique experience and background combine to make him an excellent expert. 

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 attended two basic arbitrator training classes and one chairman training class. Mr. Schulz writes and is active in the area of arbitrator selection and utilization. Due to the large number of arbitrations that Mr. Schulz has been involved in since 1989, he has attended more arbitrations than the majority of attorneys and most experts who specialize in this area. Being both an arbitrator and an expert witness, Mr. Schulz is able to appreciate both roles.


The discovery process in securities arbitration is where either party attempts to obtain all of the key, important documents that they feel will assist in the prosecution or defense of the case. One of the first articles Mr. Schulz wrote, in conjunction with a securities attorney Tracy Pride Stoneman, was on the discovery process (see Securities Arbitration Commentator article dated November 1990). Twenty four years later, the process is still imperfect in that brokerage firms go to great lengths to prevent the production of harmful documents. Mr. Schulz can be a great asset in this area for two reasons. First, he is infinitely familiar with what documents are necessary for any given case. Second, Mr. Schulz is often called upon to draft discovery requests and to assist counsel with arguments for production for the preliminary hearing regarding those requests.

Mr. Schulz also 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.

During his 25 years acting as a securities expert, Mr. Schulz has had occasion to work with most of the top securities attorneys in the country. Much of his securities expert witness work is referred to Mr. Schulz through attorneys. If you are reading this website and you do not have an attorney, and your need is a combination of investment advice and legal advice, Mr. Schulz is able to refer you to a number of top securities attorneys. If you are in the process of selecting an attorney, it is important that you select an attorney who specializes in, not only securities, but the arbitration process. There are always exceptions to this rule, but generally speaking due to the uniqueness of arbitration, it is in your best interest to hire a securities arbitration attorney. But if you have already hired an attorney and he or she is not a securities arbitration attorney, do not despair; a good securities fraud expert can be a great asset to an attorney taking on a case outside his normal practice.

Invest Securities Consulting works on an hourly basis in its expert witness work. On some occasions, Invest contracts directly with the client and sometimes it contracts with the attorney for the client. If working for the attorney or for the client, Invest always attempts to keep costs to a minimum, because Invest is well aware that even arbitration can be protracted and fairly costly. Due to the many years Invest has been conducting this work, the efficiencies are greater than at some firms where the years in business is less. Invest works with the client and/or the attorney in an attempt to budget various assignments and tasks and keeps the client abreast of all costs, so that a professional business relationship is maintained.