Expert Witness

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ExpertWitness.Biz: Knowledgeable, In-depth Expertise

ExpertWitness.Biz was launched drawing upon my over 27 years of financial industry experience and over 11 years of financial industry arbitration and dispute resolution experience. The firm is dedicated to providing expert witness testimony in financial industry disputes. The philosophy of the firm is to provide qualified and unbiased expert witness testimony.

During the course of my career, I have served on numerous arbitration panels and have adjudicated disputes related to among others, (1) suitability determinations, (2) account churning, (3) failure to supervise, (4) employment compensation, (5) slander on Form U-5, (6) promissory notes, (7) contracts, (8) commissions, (9) clearing and settlement (10) trade execution, and (11) margin. Based on my arbitration experience, I believe that if an expert is utilized, arbitration panels tend to be more impressed by experts that have practical experience as opposed to merely academic or testimonial expertise. I also believe I am not alone in that view. In “The Use of Experts in Securities Arbitration” (See Securities Arbitration 2001 by the Practicing Law Institute) two main reasons are cited for retaining an expert are:

  • To take a complex subject and use everyday language to apply expert witness testimony at a level most arbitrators and other adjudicators can understand; and
  • Help and if necessary, assist, to ensure that a closing argument is persuasively delivered by a seasoned expert witness.

In addition, while knowledgeable about the complexities and regulatory restrictions inherent in the operation of any financial services firm, we also know how to communicate complex issues in a clear and compelling manner on your behalf.

I believe that my arbitration experience combined with my financial services regulatory and private industry experience provide powerful credentials for qualifying as an expert witness and achieving the two objectives referenced above.

Patrick W. McKeon

Credentials

  • Over 27 years of financial industry professional expertise: Have worked closely with multiple financial services organizations in all sectors of the industry.
  • Over 11 Years of Securities Arbitration Experience: Comprehensive understanding of all the substantive and procedural requirements required for submission and adjudication of an arbitration claim through FINRA Dispute Resolution.
  • FINRA Regulatory Experience: In the course of a 13 year tenure with Financial Industry Regulatory Authority, Inc. (FINRA), have attained a profound understanding of the marketplace dynamics and regulatory issues that drive businesses as well as standard regulatory examination and disciplinary procedures.
  • Understands Product Distribution Strategies: Comprehensive understanding of sophisticated investment vehicles, distribution strategies and financial structures gained by working with the Financial Industry Regulatory Authority, Inc. (FINRA), broker-dealers, investment managers, mutual funds, custodians and transfer agents.
  • Knows how broker-dealers work: Have been a key supervisory and compliance principal with multiple broker-dealers.
  • Certified Financial Planner (CFP®): Registered and Certified as a Certified Financial Planner (CFP®). The CFP® designation is a professional certification mark for financial planners conferred by the Certified Financial Planner Board of Standards (CFP Board).
  • Business Development Expertise: Business Development skills proved to be critical to successfully launching and growing a broker-dealer, investment advisory, and transfer agency business that currently administers over $36 billion in 529 college savings program assets, as of June 30, 2012. Expert proficiency in regulatory compliance management, strategy formulation, and new business development gained from working with multiple business models spanning over 27 years of financial industry experience.

Contact Patrick W. McKeon