Expertise
Offering Viedo Testimony for Virtual Hearings
Broker-Dealer Issues including Unauthorized trading, Margin, Suitability (Know Your Customer), Supervision and Branch Management, Compliance, FINRA and SEC Regulations, Online-Internet Trading, Options, Stocks, Bonds, Separate Asset Manger Accounts, Mutual funds, Limited Partnerships, Private Placements, Selling Away, Commodities Futures, Annuities, Mediation, The FINRA Arbitration Process (Discovery, Demonstrative Exhibits and Damages), Compliance and Supervisory Manuals, Due Diligence, Employment Disputes (Promissory Notes and Protocol), Third Party Trading Authority, Forensic Accounting, Out of Pocket and Market Adjusted Damages, Punitive Damages, Power of Attorney, Portfolio Risk Analysis, Investment Strategies, Retirement Accounts, RIA, Registered Investment Advisors, 33 and 34 act, 1940 act.
(For search purposes, not intended to be a comprehensive list)
Expertise
Offering Viedo Testimony for Virtual Hearings
Broker-Dealer Issues including Unauthorized trading, Margin, Suitability (Know Your Customer), Supervision and Branch Management, Compliance, FINRA and SEC Regulations, Online-Internet Trading, Options, Stocks, Bonds, Separate Asset Manger Accounts, Mutual funds, Limited Partnerships, Private Placements, Selling Away, Commodities Futures, Annuities, Mediation, The FINRA Arbitration Process (Discovery, Demonstrative Exhibits and Damages), Compliance and Supervisory Manuals, Due Diligence, Employment Disputes (Promissory Notes and Protocol), Third Party Trading Authority, Forensic Accounting, Out of Pocket and Market Adjusted Damages, Punitive Damages, Power of Attorney, Portfolio Risk Analysis, Investment Strategies, Retirement Accounts, RIA, Registered Investment Advisors, 33 and 34 act, 1940 act.
(For search purposes, not intended to be a comprehensive list)
Greg Wood, an articulate securities expert witness, combines 35 years as a securities industry professional with an expert witness career that began in 2004 to help clients present their case in arbitration or court. Greg has demonstrated a successful record of accomplishment, being retained by over 158 attorneys nationwide in more than 317 matters. Greg Wood has given expert testimony more than 63 times.
During Greg's 35-year securities industry career he:
*** Managed stockbrokers and/or their managers for 17 years
*** Was a retail stock, bond and commodities broker for 13 years
*** Was in training and administrative positions for the remainder
Since 2003, Greg Wood has been a FINRA Arbitrator
Curriculum Vitae
