Founding Member, Herrmann Dispute Resolution Services, LLC
174 Queen Street
Charleston, SC 29401
For over a dozen years Jack Herrmann has supported Attorneys as a Consultant and testifying Expert to resolve disputes involving over two hundred securities and investment-related cases in federal and state courts, and before FINRA arbitration hearings. He participates in direct settlement negotiations and at mediations. Issues involve fiduciary duty, industry standards of care, sales practices, suitability, supervision, securities industry employment disputes, Ponzi schemes, money laundering, margin trading, federal and state regulatory matters, out-of-pocket and market-adjusted gains and losses, causation v. correlation and coincidence, and other issues. Clients represented include broker-dealers, banks, Registered Investment Advisors, brokers, Investment Advisor Representatives, Boards of Directors, bankruptcy Trustees, Receivers, individuals, families, professional groups and businesses.
Jack Herrmann is a FINRA-trained and approved neutral Arbitrator and Mediator.
Jack Herrmann graduated from Phillips Academy in Andover, MA and from Washington and Lee University in Lexington, VA earning a Bachelor of Science degree with special attainments in Business Administration.
Jack Herrmann has over thirty (30) years of experience in the investment business, including serving clients as a broker, Portfolio Manager and founder of a private Registered Investment Advisory firm. His managerial assignments included serving as Branch Manager, Resident Managing Officer and a Manager of Branch Administration. He began his business career with the former Irving Trust Company at One Wall Street in New York City. Mr. Herrmann has worked at several NYSE-member firms and their successors including Wheat First Securities, Merrill Lynch, and Robinson Humphrey. He has provided investment consulting and advisory services to the U.S. Department of Justice in Washington, DC; a major state agency; a state Bar Foundation; bankruptcy Trustees; law firms; private foundations; Trusts; businesses; individuals and families.