FINRA Expert Witness | Securities Expert Witness | Annuity Expert Witness

Professional Experience​​​

• Barrington Capital Management, Inc. – (February 1995 - Present)

  • President, Founder, & Chief Compliance Officer - A Registered Investment Adviser | IARD # 115603

  • Insurance Agency Principal

• Barrington Financial Consulting Group, Inc. – (June 2017 - Present)

  • President & Founder

  • Mediation, Arbitration, & Litigation Support Consulting

• Minnesota State Bar Association ADR Section - (July 2017 - August 2022

• FINRA Dispute Resolution Arbitrator Chairperson ID: A57294 – (August 2009 - Present)​​

  • FINRA Chair Qualified - 2018

• FINRA Mediator ID: A57294  – (November 2017 - Present)​

  • Qualified Through the National Arbitration and Mediation Committee

• National Futures Association (NFA) Dispute Resolution Arbitrator – (February 2012 - Present)

  • Futures, Commodities, and Forex Disputes Involving Investors, Member Firms, and Employees

• Securities & Insurance Expert Witness & Litigation Support Consultant – (2010 - Present)

  • Litigation Support, Expert Witness Services, & Case Analysis​

• Master Registered Financial Consultant (MRFC®); Division of International Association of Registered Financial Consultants (IARFC®)

  • Vice-Chairman and Board Member​

  • MRFC® Certification Program

• Your Financial Roadmap, Inc. – (December 2015 - December 2021)

  • President & Founder

• Gardner Financial Services, Inc. – (April 2014 - September 2014)

  • Registered Securities & Options Principal / Branch Manager

• MB Trading – (February 2011 - April 2012)

  • Registered Securities & Options Principal / Branch Manager

• Thinkorswim, Inc. / TD Ameritrade, Inc. – (June 2006 - August 2010)

  • Registered Securities & Options Principal / Branch Manager

• Raymond James Financial Services, Inc. / Robert Thomas Securities, Inc. (Division of Raymond James) – (January 1999 - June 2004)

  • Registered Securities Principal; Branch Manager

• Robert Thomas Securities, Inc. (Division of Raymond James –(October 1998 - January 1999)

  • Registered Securities Principal; Branch Manager

• Midwest Discount Brokers, Inc. – (April 1996 - October 1998)

  • Registered Securities Principal & Registered Representative / Branch Manager

• Securities Service Network, Inc. – (August 1994 - February 1995)

  • Registered Securities Principal & Registered Representative / Branch Manager

• Securities America, Inc. – (November 1993 - March 1994)

  • Registered Securities Principal & Registered Representative / Branch Manager

• Walnut Street Securities, Inc. – (January 1990 - January 1993)

  • Registered Securities Principal & Registered Representative / Branch Manager

• Barrington Capital Management – (August 1988 - February 1995)

  • Owner & Chief Investment Officer - A Registered Investment Adviser | IARD # 115603

  • Licensed Insurance Agent

• Financial Network Investment Corporation – (November 1987 - January 1990)

  • Registered Securities Principal & Registered Representative / Branch Manager

• Shearson Lehman Brothers, Inc. / American Express – (August 1986 – December 1987)

  • Vice President / Fixed Income Specialist

  • Serviced Rural Banks and Insurance Companies with Investment Solutions

• American Capital Financial Services, Inc. – (September 1983 - August 1986)

  • Registered Representative / District Manager

 

Director, Board Member, & Organizational Affiliations

• Master Registered Financial Consultants (MRFC®) - Chairman and Board Member

• CFA Society of Minnesota - Member​

• CFA Institute - Member

• CFA Steering Committee - Former Member

• Securities Experts Roundtable (SER) – Practice Management Chair | Director​

• National Society of Compliance Professionals (NSCP) – Member

• Association of Certified Fraud Examiners (ACFE) – Member

• Twin Cities Chapter Certified Fraud Examiners (TCCFE) – Member

• Minnesota State Bar Association (MSBA) ADR Section – Member (Former Chair from 2017-2022)

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Industry Examinations & Licenses

• Series 24 – General Securities Principal Examination* (CRD #: 1170465)

• Series 4 – Registered Options Principal Examination*

• Series 7 – General Securities Representative Examination*

• Series 51 – Municipal Fund Securities Limited Principal Examination*

• Series 66 – Uniform Combined State Law Examination

• Series 63 – Uniform Securities State Law Examination*

• Series 3 – National Commodities Futures Examination*

• Minnesota Department of Commerce – Insurance Agency License (Barrington Capital Management, Inc.): License # 20093989 - Issued: 03/20/2001

• Minnesota Department of Commerce – Resident Insurance Producer: Life & Health – License # 1008439 Issued 10/27/1982

 

* No longer registered or affiliated with FINRA or the National Futures Association (NFA) as a Principal, Registered Representative, or Commodities Representative

 

Education

Cornell Law School – Ithaca, NY 2022 

• Securities Law and Financial Institutions & Regulation Certificates – Expected completion - May 2023

  • Defining Security

  • Securities Registration 

  • Registration Requirements Exemptions

  • Key Securities Law Liabilities and Principal Underwriting Documents

  • Financial Regulation: Law and Policy

  • Principles of Financial Regulation

UCLA Extension – Los Angeles, CA 2022

• This course focused on the ethical issues confronting financial professionals, including extensive coverage of the recent financial crisis and the very latest developments affecting ethics within the financial world. Instruction includes an overview of the ethical standards in finance, including the primary elements necessary to make proper ethical decisions. The course also covered key definitions, issues, and general theories of business and finance ethics, citing examples from the recent scandals that have shaken public confidence in Wall Street and the world financial markets. Main topic areas include overview and fundamentals of ethics in finance, the retail customer, investments, financial markets, and financial management.

College of St. Thomas School of Law; St. Paul, MN – 2022

• The Certified Securities Compliance Professional (CSCP) is a graduate-level program for experienced services compliance professionals, offered the University of St. Thomas Law School in collaboration with the National Society of Compliance Professionals (NSCP). Granted the CSCP designation for Investment Advisers and Broker Dealers. (IA – BD)​

Mitchell Hamline School of Law; St. Paul, MN

• Arbitration Certificate – 2011

  • U.S. Arbitration Law and Practice; Course covered the following topics: U.S. Arbitration Law, Arbitration Agreements, Enforcement of Awards, U.S. Statutes on Arbitration, Arbitration and Federalism, Freedom of Contract, Arbitrator Sovereignty, and Statutory Arbitrability, Enforcement of Arbitration Awards

  • Minnesota ADR Rule 114 and applicable MN Statutes | Arbitration

  • Civil Adjudicative

  • Evaluative Arbitration

• Mediation Certificate – 2014

  • Practice, Policy, and Ethics

  • Minnesota ADR Rule 114 and applicable MN Statues | Mediation

  • Civil Facilitative & Hybrid Mediation

The American College of Financial Services - 1983-1991

• Life Underwriter Training Council Fellow (LUTCF®)

  • Financial Planning & Risk Management

  • Life Insurance & Annuities

  • Retirement & Estate Planning

  • Employer-Based Insurance Products

 

Lectures & White Papers

• Preparing for Deposition or Cross Examination – Securities Experts Roundtable Annual Conference - 2023

• Recognizing the Implications of Being a Security – Part One (White Paper) 2022

• Recognizing Factors Considered in Determining if There is a Security – Part Two  White Paper – 2022

• The Core Framework: U.S. Bank Regulation – October 2022

• Investment Funds: Risk and Regulatory Challenges - 2022

• Business Models and the Legal Forms are Constantly Unfolding – 2022

• Does Basel III Address the Failings of Basel I and II – 2022

• Insurance Companies and Systemic Risk – 2022

• Regulating the Shadow Payment System – 2022

• Changes in the U.S. Financial System over the Past 50 Years – 2022

• Securities Expert Roundtable (SER) Moderator and Presenter: Incorporating Mediation in Your Expert Practice June 2022

• Securities Experts Roundtable (SER) Moderator: “Best Practice Tips to Manage Your Expert Witness Business”

• New York State Bar Association (NYSBA) Presenter: “How to Survive and Potentially Thrive as a Neutral in these Volatile Times” – May 2020

• Minnesota State Bar Association (MSBA) Presenter: “How to Survive and Potentially Thrive as a Neutral in these Volatile Times” – April 2020

• Securities Experts Roundtable (SER) – Presenter: “Best Practices for Expert Witnesses – Practice Management Techniques” – Washington, DC – July 2018

• Steel County Bar Association – Speaker: “Solving for ‘X’ – Financial Planning Tips for Attorneys” – 2018

• Selling Away: May 2017

• FINRA Dispute Resolution Essentials - September 2017

• Minnesota State Bar Association (MSBA) – Presenter: “Is Arbitration Getting a Bad Name?” – 2017

• Fi360 AIF® Qualified Instructor - Fiduciary Essentials for Defined Contribution Plans (FEDC)

  • Understanding the Important Role and Responsibilities as Plan Fiduciaries

  • Reducing Compliance and Litigation Risks Associated with the Management of Retirement Plans

  • Implementing an Effective and Prudent Fiduciary Decision-Making Process

  • Creating Training Documentation for the Fiduciary File and Potential DOL Audits

• Presented the following presentations to Attorneys, Financial Professionals, Investors, and Plan Stewards:

  • Prudent Practices for Investment Fiduciaries – 2017

  • How to Avoid Arbitration: "A Look into the Future of Financial Services Industry" – 2016

  • Transitioning Your Practice from a Commission to Fee-Based Model – 2015

  • Retirement Planning Course: “The Rules Have Changed":  Normandale Community College – 2013

  • Social Security Planning: Normandale Community College – 2013

  • Retirement Planning for Baby Boomers: Normandale Community College – 2013

  • Advanced Investing Techniques Course: Wayzata School District – 2013

  • Are You a Daredevil with Your Investments?: Bloomington School District – 2013

  • A Disciplined Approach to Selecting & Monitoring Stocks, ETF’s, Mutual Funds, and Managing Risk  – 2008

  • Sector Rotation – 2007

  • ​Point & Figure Technical Analysis – 2007

  • A Disciplined Approach to Selecting Stocks and Managing Risk – 2006

  • Risk Management & Portfolio Hedging – 2006

  • The ABCs of Long Term Care Insurance – 1998

• Presented the following Options Industry Council (OIC) Courses:

  • Covered Calls – 2007

  • Options Basics – 2007

  • Options Intermediate – 2008

  • Advanced Options – 2008

  • Credit & Debit Option Spreads – 2008

  • Option Volatility – 2008

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Awards & Honors​

• Mitchell Hamline School of Law – Mediation Judge for Law Students in National Competition

• Minnesota State Bar Association (MSBA) – ADR Ambassador for Mitchell-Hamline School of Law students

• Minnesota Lawyer: Voted in the "Top Three Best Litigation Consulting Firms for 2022" (Barrington Financial Consulting Group, Inc.)

• Minnesota Lawyer: Voted "Best Litigation Consulting Firm" for 2020 (Barrington Financial Consulting Group, Inc.)

• Minnesota Lawyer: Voted Among the "Top Three Best Litigation Consulting Firms" - 2017 & 2019 (Barrington Financial Consulting Group, Inc.)

• A.M. Best Company: Client Recommended Expert Service Provider - 2013-2017

• Better Business  Bureau of Minnesota and North Dakota: Judge - Students of Integrity Scholarship - 2016

• Better Business Bureau of Minnesota and North Dakota: Judge - Torch Awards for Ethics - 2015

• Better Business Bureau of Minnesota and North Dakota: Business Ethics Award Nomination - 2010, 2011 & 2012

 

Securities & Insurance Litigation Support Services

• Expert Witness Testimony

• Unbiased Case Analysis

• Discovery Review & Recommendations

• High-Impact Demonstrative Exhibits

• Strategy and Tactics Conferences

• Mediation Consulting

• Portfolio Risk Reports

• Damage Calculations*

• Cash Flow Analysis Reports*

• Margin and Options Account Analysis*

• Market Adjusted Damages & Analysis*

• Detailed Transaction Reports*

• Profit and Loss Analysis*

          *May be prepared by a third-party firm

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Affiliations

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• CFA Institute - Member

• CFA Society of Minnesota - Member

• National Society of Compliance Professionals (NSCP)

• Financial Industry Regulatory Authority (FINRA) - Alternative Dispute Resolution

• National Futures Association (NFA) - Alternative Dispute Resolution

• Master Registered Financial Consultant (MRFC®) - Chair of the MRFC® Certification Program

• International Association of Registered Financial Consultants (IARFC)

• Securities Expert Roundtable (SER) - Practice Management Chair - Board Member

• Association of Certified Fraud Examiners (ACFE) - Member

• Twin Cities Chapter of the Association of Certified Fraud Examiners (TCCFE) - Member

• Minnesota State Bar Association (MSBA) ADR Section – Member

• Thomson Reuters Expert Witness - Member

• Rubin Anders Expert Witness

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Volunteer Experience

• Member: Investment Sub-Committee: Little Brothers - Friends of the Elderly

  • Little Brothers - Friends of the Elderly is a non-profit volunteer-based organization committed to relieving isolation and loneliness among the elderly. 

• Volunteer Mediator: Better Business Bureau (BBB) of Minnesota & North Dakota

  • Resolve disputes through the mediation process.​

• Judge: BBB of Minnesota & North Dakota Students of Integrity Scholarship – October 2016

  • The Student of Integrity Scholarship is an annual program offered by the BBB of MN to recognize and award scholarships to students who personify the best aspects of high character in their personal choices and actions.​

• Judge: BBB of Minnesota & North Dakota Torch Awards for Ethics – October 2015

  • The Torch Awards recognize and publicly acknowledge companies who display an outstanding level of ethics, customer service and integrity in all aspects of their operations. ​

• Volunteer Mediator: Community Mediation & Restorative Services, Inc.

  • Assist Community Mediation and Restorative Services, Inc. (CMRS) in providing the community with a structured confidential process for resolving disputes in a mutually satisfactory manner.​