Litigation Support

Forensic Advisory Services
Personal Financial Advice
Workplace Financial Advice

Special Needs
Litigation Support
Consulting

We are available to assist attorneys and their clients evaluate the advisory services under review in a case.

With particular expertise of The Code of Ethics and Professional Responsibility for CFP^®professionals, we have a unique understanding of the ethical issues involved in advisory relationships.

As an NASD arbitrator we have the training and experience to provide meaningful support.

For a copy of a recent C.V. click the button below

Professional Ethics

As a former member and chair of the Board of Professional Review, Dan Candura helped to determine whether financial planners should be disciplined for ethical violations. He reviewed hundreds of SEC and NASD decisions as well as civil and other regulatory findings to determine penalties for violations of The Code of Ethics and Professional Responsibility —up to and including revocation of the certificant’s rights to use the CFP^® marks.

Broker/Dealer OSJ and Compliance Experience

· Strategic architect of unique, unbiased financial advisory model for deferred compensation participants in accordance with ERISA regulations.

· Business development leader for a major insurance firm providing investment and insurance products to the education and retail markets across New England.

· Compliance and sales supervision for more than 60 NASD registered representatives and investment advisor representatives.

· Spotless NASD U4 record.

· Served as management expert for New England field offices for NASD, SEC and insurance compliance issues.