Securities Expert Witness | FINRA Arbitration Expert Witness
Where Expertise and Experience Meet!
FINRA Securities Arbitration Expert Witness and Consultant
Welcome to the home page of Douglas 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 retained in over 1,170 securities related matters. Mr. Schulz has testified in over 650 FINRA Arbitrations and civil cases regarding investment and brokerage disputes that have resulted in arbitration awards and settlements totaling over $375 million dollars.
Invest Securities Consulting, Inc.
301 Snowcrest Road
Westcliffe, CO 81252
Proven Quality Over Time
Douglas J. Schulz, CRCP
Securities Fraud and Securities Expert Witness -
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. 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
- Unauthorized Trading
- Options, Stocks & Bonds
- Compliance Violations
- Supervisor of Registered Representatives
- Supervisory Violations and Lapses
- Due Diligence
- Concentration - Lack of Diversification
- Order Failure
- Illegal Discretionary Trading
- 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,
- Investment Fraud
- 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
We could not have obtained the results we achieved without you as part of our team. And your pre-trial assistance in crafting cross examination of their witness and experts resulted in eliciting much testimony helpful to us and damaging to them. On damages, your analysis of our clients' accounts, through both your reports and your testimony, was instrumental in the panel's decision to award the compensatory damages. . . . you simplified and articulately explained our damage calculation in terms the arbitration panel could easily understand. That was clear when witnessing the lengthy back and forth between you and one of the arbitrators on the theory and measure of damages. Perhaps the most compelling proof of the value of your assistance was the award of your expert witness fee of $140,000. We both know that is a rare event in FINRA arbitration.
Very truly yours,
BREESE LAW OFFICE, PLLC
Frank “Kim” Breese, III
. . . your testimony to the Panel was well-considered and, thus, helpful to it in its efforts to understand this case, what went wrong at the broker-dealer, and what should have been done by the firm to protect my clients and comply with its regulatory obligations. I just wanted to let you know that I appreciated the time and attention you gave to the engagement from start through to the end as that had a positive impact on the value of your testimony at the hearings. Among other things, the fact that the Panel Chair asked you candidly for your assessment of the claimant’s relative naiveite when none of the parties or counsel had touched on that issue directly, and the fact that the opposing party ordered copies of your book, indicated to me that your testimony was impactful.
Best personal regards,
. . . Doug created several excellent damages models. These models were professional and concise and, most important, Doug had the knack of explaining them in simple and compelling terms. . . . The other side was represented by very accomplished attorneys, and hired competent and expensive experts. However, even with these resources in my view they were never able to effectively undercut Doug's work.
David A. Garcia, LLC
Guardianship legal battle ends in secrecy - Albuquerque Journal (08/27/2017)
"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. . .
"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."
"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
Merrill Lynch Broker
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. The 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, 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".
– 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. His topic, 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.
(click button to view) Wharton's CRCP Speakers - Program
- Featured speaker at the Delaware Investment Education Conference 2005
Schulz, a 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.
(click button to view) Delaware Investment Education Conference