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 is focused on continuing CFI's successful track record in case and issue resolution for the securities industry. Mr. Khavinson 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.
Jay Rosen, founder of CFI, provides analysis and expert testimony regarding suitability, supervision and ERISA-related matters. He has been retained in over 300 litigation proceedings. Mr. Rosen has more than 40 years of experience in the securities industry as the president and founder of The Capital Control Group, Ltd., a pension and asset consulting firm, and in management positions for leading financial firms, as well as the trustee of a large pension fund.
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 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 industy licenses.