Expertise
Arbitrator, Mediator and Expert Witness.
Consulting Expert participating in direct settlement negotiations and mediation, and testifying in federal and state court and at arbitration hearings.
Represents banks, broker-dealers, Registered Investment Advisors, Registered Representatives and Investment Advisor Representatives. Also represents professional groups, Boards, families, individuals, court-appointed Receivers, Bankruptcy Trustees.
Issues include but are not limited to securities industry rules and regulations; industry standards of care; fiduciary duty; conflicts of interest; supervision; suitability; sales practices; securities industry employment disputes including "Raiding" cases and wrongful termination; Ponzi schemes; money laundering; margin trading; offering, evaluating and dividing securities; damages, and others.
(For search purposes, not intended to be a comprehensive list)
Expertise
Arbitrator, Mediator and Expert Witness.
Consulting Expert participating in direct settlement negotiations and mediation, and testifying in federal and state court and at arbitration hearings.
Represents banks, broker-dealers, Registered Investment Advisors, Registered Representatives and Investment Advisor Representatives. Also represents professional groups, Boards, families, individuals, court-appointed Receivers, Bankruptcy Trustees.
Issues include but are not limited to securities industry rules and regulations; industry standards of care; fiduciary duty; conflicts of interest; supervision; suitability; sales practices; securities industry employment disputes including "Raiding" cases and wrongful termination; Ponzi schemes; money laundering; margin trading; offering, evaluating and dividing securities; damages, and others.
(For search purposes, not intended to be a comprehensive list)
Mr. Herrmann applies his 30-plus years in the securities business to help resolve conflicts, and to serve as a resource for Attorneys. He is engaged for securities and investment-related assignments and disputes of all types. He testifies in federal and state court, in AAA, FINRA and JAMS arbitrations, and before federal and state securities regulators.
Over the past twenty (20) years Mr. Herrmann has been engaged for more than two hundred (200) securities and investment-related cases serving as a Consulting Expert and as a Testifying Expert assisting Defense Counsel as well as Plaintiff Counsel. Over the same period Mr. Herrmann has been active as a neutral FINRA Chair-qualified Arbitrator and Mediator.
Mr. Herrmann assists Plaintiff Counsel draft Complaints, and assists Defense Counsel prepare Answers. He evaluates cases, assists with direct settlement negotiations and participates in-person at mediation.
Mr. Herrmann testifies in federal and state court, in arbitrations and before federal and state regulators on issues that involve but are not limited to federal and state securities statutes, industry standards of care, fiduciary responsibility, conflicts of interest, damages, lost investment opportunity and other issues.
Clients he represents include but are not limited to banks, Registered Investment Advisors and Investment Advisor Representatives, broker-dealers and Registered Representatives, court-appointed Receivers, Bankruptcy Trustees, estates, Trusts, professional groups, business owners, families, individuals and others.
Mr. Herrmann's objective is to be better prepared than opposing Counsel and opposing Experts.
Curriculum Vitae
SER Voting Member
