John Duval, Sr.  Standard Member


Available Globally

Contact:

4 Creek Lane
Manchester, Maine, 04351
USA


Services:

Suitability, Supervision, Investment Adviser Act '40 (Fiduciary responsibilities), Standard of Care, Compliance, Fair Dealing, Damage Analysis, Private Placements, annuities and life insurance, Options, Investment Management and Asset Allocation


Qualifications:

34 years total industry experience, retired VP Merrill Lynch, Branch and District-level management, FINRA arbitrator (chair qualified), mediator. 13 years as securities expert. Specialties include annuities and life insurance. Damage expert.
Publications are listed on my website, include PLI article on Hedge Funds.


Experience:

Retention in over 275 cases, testified over 60 times in FINRA, federal and state court, nationwide. Had two-year engagement with Enforcement Division of SEC as investigative consultant and then testifying expert witness against a broker/dealer. Other regulatory work includes State of Maryland. Have been retained by both sides.


Categories:

Annuities   ,   Investments Variable   ,   Investment Management   ,   Life Insurance   ,   Securities Expert Witness   ,   Standard of Care


Gallery
Gallery is empty
My CV & Docs
No Record.

My Videos

Expert's Ratings