FINRA Pre-Hearing Brief

FINRA Pre-Hearing Brief (Fictional Names)

FINRA Pre-Hearing Brief : CLAIMANT’S PRE-HEARING BRIEF. Claimant, Trusting Victim, (“Claimant” or “Claimant Victim”), by and through her undersigned counsel, hereby files this pre-hearing brief, wherein she states as follows: A.  The Claimant is an elderly retiree. She resides in Trustworthy, Texas and Blue Lakes, Minnesota (depending on the season). Timid, frail, and risk-averse, Claimant […]

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PRELIMINARY EXPERT WITNESS REPORT OF CHRISTOPHER J. BEBEL (Fictional Names)

January 1, 2009 Introduction I have been engaged by Law Firm ABC in connection with the captioned matter.  Pursuant to the aforementioned engagement, I have been asked to analyze and evaluate the facts and circumstances associated with this proceeding, and then articulate opinions with respect to pertinent topics, including the following: whether Prestigious Brokerage Firm […]

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Investors Must Be Protected From Deception And Deceit As Well As From Incompetence And Carelessness: In Quantitative Terms, Stock Market Losses Emanating From Fraud Are As Painful As Those Which Stem From Negligence

There are over 600,000 registered stockbrokers (a/k/a  financial advisors and financial consultants).  With so many people holding the requisite licenses, it would not be fair to generalize and pretend that brokers are uniformly untrustworthy or less than forthright.  Nor would it be prudent to suppose that all stockbrokers are experienced, astute financial professionals who always […]

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