Expert Witness Service

CRC provides a wide-range of expert witness services specifically focused on regulatory, enforcement and litigation matters involving broker-dealers and asset management firms.

Our team has unparalleled industry expertise and experience, with a deep understanding of the underpinnings of regulation.  This is evidenced in the high quality of our expert reports and testimony in arbitration and civil proceedings.

Our services include:

  • Expert witness testimony
  • Strategic advisory work specific to any pending regulatory problem, examination or disciplinary action
  • Serving as an independent consultant in SEC, FINRA and State enforcement matters
  • Due diligence and testimony preparation
  • Providing wellness checks to ensure the adequacy of a firm’s compliance and supervisory infrastructure in response to any regulatory mandates / requirements.

The Distinguishing Factor

Each member of the CRC leadership team has approximately 25 years of relevant industry knowledge and “in the seat” experience.   This enables CRC to distinguish its expert witness services in a manner that creates great efficiency and quick comprehension of issues and risks through our “hands on” approach and current knowledge of industry best practices and regulatory expectations.

Other Verticals & Services we offer are Financial Services, Anti-Corruption & EthicsResearch Supervisory AnalystTechnology Industry Compliance, and Enterprise Compliance Risk Management.

Contact us to schedule a call/meeting to further determine your individualized needs and requirements.

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