The genesis of Capital Forensics, Inc. (CFI) dates back to the Capital Control Group, Ltd, founded in 1986, to provide retail brokerage and pension evaluation services to the financial industry. CFI was incorporated in 1993 to provide litigation consulting and expert testimony.
Today, CFI provides a comprehensive suite of products and services to include: data analytics, compliance and regulatory consulting, forensic accounting, litigation support and expert testimony. Our team of analysts and experts pride themselves on continually developing new and more efficient methodologies to achieve client goals.
As CFI's roster of clients has grown, so has its geographical footprint to include a presence in New York, Florida and California.
Capital Forensics, Inc.'s (CFI) team is a dynamic group of experienced professionals with broad industry experience and deep subject-matter expertise. When you work with CFI, our staff becomes part of your team, and is focused on delivering a successful outcome.
Vadim Khavinson became Chairman and CEO in 2017, and is focused on continuing CFI's successful track record in case and issue resolution for the securities industry and Fortune 500 related matters. Vadim works closely with clients, providing litigation strategy and expert testimony for a wide range of industry segments. He also spearheads CFI's commitment to leveraging technology to uncover new and innovative approaches to analyze data and more effectively represent clients' interests. Vadim started his career at CFI in 2002, first as a data and litigation analyst, and then supervising assigned cases. He is a quantitative expert and assists in determining damages. He has testified in FINRA disputes, HR related cases and worked on regulatory projects and investigations. Vadim has an MBA from The Kellogg School of Management, Northwestern University.
Jay Rosen founded CFI in 1993. Mr. Rosen provides expert analysis and testimony in securities and ERISA related matters. His expertise includes suitability, supervision, fiduciary duties in Trust Management, determination of churning, annuities and insurance, market manipulation, options, industry standards, broker conduct and damages. Mr. Rosen has more than 40 years of industry experience, including Financial Advisor, Branch Manager and Regional Manager roles. Prior to Capital Forensics, Mr. Rosen was President and Founder of The Capital Control Group, Ltd., a pension and asset management consulting firm. He has testified in both damages and industry related issues more than 350 times in his career. Mr. Rosen was previously with Merrill Lynch, Oppenheimer, Drexel Burnham and CCG. He previously held the Series 3,4,7,8,12,24,63 and 66 securities industry licenses.
Bob Valker has extensive experience in management of regulatory and litigation matters, and is recognized for his quantitative expertise as an expert witness in arbitration proceedings. He joined Capital Forensics, Inc. (CFI) in 2007, and currently serves as a Managing Director. At CFI, in addition to direct client counseling, Bob supports the firm's team of analysts, and works to ensure successful case management, from inception through resolution. He is a Certified Fraud Examiner (CFE), and is also designated by FINRA as a Certified Regulatory and Compliance Professional (CRCP).
Kamran brings more than 20 years of financial industry experience focusing primarily on compliance related matters. He began his professional career as a financial consultant but soon demonstrated a proficiency in successfully navigating through an ever-changing and complex regulatory environment for broker dealers, investment advisors and regulatory agencies. Prior to CFI, he was a Surveillance Director at FINRA, where he identified and addressed current and emerging risk, while monitoring member firms' compliance with applicable rules and regulations. He provides invaluable insight to our clients and strengthens CFI's already formidable resources. Kamran held the Series 7, 24, 63 and 65 securities industry licenses, and is a Chartered Financial Analyst (CFA).
Eric brings more than 30 years of financial services industry experience. He began his career as a financial analyst with Drexel Burnham Lambert and then moved into Retail Sales Management. He has a significant amount of brokerage firm and bank broker-dealer experience, with expertise in supervision, transactional and fee-based platforms, Branch and Complex management, and compliance. Eric's expertise in the fixed income arena results from his running the largest single branch complex at RBC Wealth Management, (successor to J.B. Hanauer & Co., LLC, a fixed income boutique) where Eric was the Director of the Private Client Group. Eric has held other senior roles at NatWest Investor Services, Gruntal & Co, and Ryan Beck. Eric holds the Series 7, 9, 10, 24, 63 and 65 securities industry licenses, along with the New Jersey life insurance license.
Christine brings more than 30 years of financial services experience, specializing in reducing regulatory risk associated with operational workflow processing and data analysis. Having managed various business lines as a senior manager, she provides end-to-end problem analyses and solutions that meet each client's regulatory and business needs. Most recently, Christine was Director, Compliance and Regulatory at Thomson Reuters, managing the firm's Wealth Management Compliance department, while providing several of the nation's largest broker-dealers with guidance for regulatory reporting and books and records requirements. Additionally, Christine has managed compliance departments for Washington Mutual and Wachovia Securities. Christine held the Series 3, 4, 7, 8, 14, 24, 27, 30, 63 and 65 securities industry licenses.
Jennifer brings over two decades of financial services industry experience, including branch office compliance supervisory experience, specializing in identifying and mitigating risk, and ensuring adherence to firm and regulatory policies. Prior to CFI, Jennifer was a Complex Administrative Manager for UBS in NYC, responsible for managing over 50 direct reports. Prior to UBS, Jennifer was a VP Administrative Manager at Merrill Lynch's 5th Avenue office in NYC, supervising nearly 200 Financial Advisors. There, some of her supervisory duties included monitoring various customer account activities, reporting and responding to customer complaints, assisting Counsel with preparing for mediations and arbitrations, heightened supervision plans, internal investigations and testifying as Corporate Representative in FINRA disputes. Jennifer holds the Series 7, 9, 10, 63, & 65.
Stephen brings more than 35 Years of compliance and regulatory expertise, along with enterprise risk management experience within the securities and banking industries. Most recently, he was Head of Corporate Compliance for Charles Schwab Corp. He began his career at the NASD (FINRA), where he became the Associate Director of the NY District office. He later served as Chief Compliance Officer in the US for Barclays Capital and BNP Paribas. He was responsible for the development and operation of a comprehensive compliance program for all bank and broker-dealer businesses. Steve has served as Chairman of the Nat'l. Society of Compliance Professionals (NSCP) and the Institute of Int'l. Bankers' Compliance Committee, and was an Executive Committee Member of SIFMA's Compliance & Legal Society. Stephen holds the Series 4, 7, 8, 14 & 24 securities licenses.
Alex brings more than 10 years of experience to Capital Forensics. Alex became the head of CFI's Forensic Accounting Group in January, 2017, where he supervises a staff of CPAs who utilize their accounting, auditing and investigative skills to resolve issues. For the previous 4 years, Alex has served as an expert in litigation support and investigations, quantifying damages sustained by parties in litigation, and determining whether criminal matters, including employee theft, securities, insurance or tax fraud have occurred. In prior roles, Alex served as the Finance and Accounting Manager and as an Auditor for financial institutions and public corporations. Alex also held supervisory accounting roles at a commercial real estate services and investment management firm. Alex holds an M.S. in Accounting Forensics, and a B.S. in Accounting and Finance.