JBrandonConsulting, LLC - FINRA Securities Arbitration Consultants & Expert Testimony
About Us
 
JBrandonConsulting believes that our clients' securities protections and rights are of the utmost importance. We provide our clients with securities litigation and FINRA arbitration consulting services including expert witness testimony. We have consulted and served the expert witness needs of both claimants and respondents. Attorneys, advocates, mediators and arbitrators understand that we look at each case on its own merits and not a foregone industry or client bias. 

Our consulting group has over one hundred years of securities industry experience in the areas of retail and institutional product sales,  product due diligence and private placement investigations, planning, sales and executive management, contract negotiations, recruiting and recruiting issues, financial consulting, operational and compliance management, investment management, executive and corporate services, corporate cash management, derivatives, fixed income securities, financial operations, compliance management, financial planning and product and services development. We offer our clients a very diverse and in depth understanding of the securities industry, brokerage firm operations and operational and compliance issues. 

JBrandonConsulting has been involved with consulting services, mediations, and arbitrations involving such issues as due diligence, wrongful termination, securities trading and execution issues, option exercise issues, portfolio management, asset selection and allocation, real estate and other private placements, real estate funds, real estate 1031 exchanges, Regulation D private offerings, failure to supervise, fixed income transactions, suitability, broker negligence, auction rate securities, securities fraud, Investment Banking, breach of fiduciary duties, improper use of discretion, selling away, and other brokerage issues. 
JBrandonConsulting has served clients in seven states from New York to California. The only limit to our practice travel is the United States and where FINRA has jurisdiction.

Jeffrey Brandon has held the following securities industry licenses:
Series 3 (National Commodity Futures Principal)
Series 4 (Registered Options Principal)
Series 7 (General Securities Representative)
Series 8 (NYSE Branch Manager/General Securities Sales Supervisor 9&10)
Series 24 (FINRA General Securities Principal)
Series 53 (Municipal Securities Principal)
Series 63 (Uniform State Registration)
Series 65 (Uniform Investment Advisor Principal) 
New York Stock Exchange Allied Member 

Linda Rule has held the following securities industry licenses:
Series 7 (General Securities Representative)
Series 24 (FINRA General Securities Principal)
Series 27 (Financial and Operations Principal)
Series 52 (Municipal Securities Representative)
Series 53 (Municipal Securities Principal) 

David Ferguson has held the following securities industry licenses:
Series 7 (General Securities Representative)
Series 10 (General Securities Sales Supervisor)
Series 24 (FINRA General Securities Principal)
Series 27 (Financial and Operations Principal)
Series 63 (Uniform State Registration)
Series 65 (Uniform Investment Advisor)

Additional consultants hold the following licenses and title:
Series 3 (National Commodities Futures Representative
Series 7 (General Securities Representative)
Series 24 (FINRA General Securities Principal)
Series 63 (Uniform State Registration)
Series 65 (Uniform Investment Advisor)
ChFC (Chartered Financial Consultant) 
 

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