Company Profile
Capital Forensics, Inc. (CFI) offers expert testimony and litigation support, compliance consulting and data surveillance, and a variety of value-added services to the broker dealer, investment advisory and insurance industry.
CFI has been retained by both respondents and claimants for
matters including:
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Industry Issues |
Product Issues |
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• Broker and RIA Supervision |
• Securities |
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• Suitability |
– Structured Products |
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• Churning |
– Preferred Securities |
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• Broker and RIA Duties |
– Principal Protected Notes |
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• Breach of Fiduciary Duty |
– Reverse Convertibles |
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• Margin |
– Stocks, Bonds, MFs, ETFs |
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• Unauthorized Trading |
– Options |
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• ERISA |
– Annuities |
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• Insurance Products |
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Compliance Issues |
Human Resources |
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• Surveillance |
• Employment / Wrongful Termination |
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• Anti-Money Laundering |
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Contact CFI with any questions about cases, regulator inquiries or compliance questions.
About us: Company Profile, Corporate
History and Our
People
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