Our clients range from financial institutions – including broker-dealers, banks, insurance companies, and RIAs – to law firms and Fortune 500 companies. Our services include...
Data Analytics
Data mining and quantitative analyses that deliver practical, flexible solutions for litigation, compliance and regulatory matters.
Compliance, Regulatory & Risk Management
Expert advice, support and consulting solutions tailored to address the needs of companies facing increased regulatory oversight.
Litigation Support & Arbitration Tools
Unbiased expert testimony supported by detailed analysis and persuasive exhibits. An extensive portfolio of arbitration information and tools.
Fraud & Forensic Investigations
Objective financial analysis for complex financial investigations, commercial litigation, fraud and theft cases.
We solve tough, high-stakes problems.
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We have the expertise to resolve complex issues.
We create customized solutions.
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Each assignment is managed as a unique challenge.
We define success by your standards.
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We go far beyond what’s expected of us.
Capital Forensics — By the Numbers
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Critical Issues
We wrote the book on MockArb®. Request your free copy of “Mock Arbitration: A Blueprint for Risk Mitigation.”
What Clients Say...
“I’ve worked with CFI’s experts on both forensic accounting and liability issues for more than two decades.”
“CFI’s quality control is second to none, as is their understanding of the intricacies of investment-related litigation.”
The confidential nature of our business requires that we maintain discretion regarding our client list.
We would be happy to provide qualified prospects with contact information on our current and former clients.
News & Views
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CFI Professional Insights Series: Featuring Sue Light, Partner, Financial Markets & Funds, Katten Muchin Rosenman LLP
Sue Light started out as a prosecutor in the Bronx District Attorney’s office, which was the perfect training ground for her 30-year career as a senior leader and regulatory officer inside both the New York Stock Exchange (NYSE) and the Financial Industry Regulatory Authority (FINRA). Currently, as a partner at Katten Muchin Rosenman LLP, Sue
August 3, 2022 -
SEC Cites Reg BI in Civil Regulatory Action Filed Against Brokerage Firm for Sales of Complex Securities to Retail Investors
Recently, Reg BI was cited in a news release regarding a civil regulatory action filed by the SEC against a brokerage firm for sales of complex securities to retail investors (“SEC Complaint”). This represents the first time that a Regulatory Enforcement Complaint specifically referenced Reg BI. In turn, a private action was recently filed on the
July 21, 2022 -
CFI Professional Insights Series: Featuring Richard Szuch, Enforcement Chief for the New Jersey Bureau of Securities
As Enforcement Chief for the New Jersey Bureau of Securities, Richard Szuch oversees a department dedicated to protection of New Jersey investors and markets through enforcement of securities laws. His broad range of experience includes more than 25 years in private practice at two respected firms.
March 2, 2022 -
CFI Managing Director, Eric Siber, Interviewed by Brad Wales on the Proper Way to Move a Book of Clients, Under The Protocol for Broker Recruiting
Brad Wales, Host of the Transition to RIA podcast, recently interviewed CFI’s Managing Director, Eric Siber, on the proper way to move a book of clients, under The Protocol for Broker Recruiting. As the industry’s Administrator of The Broker Protocol, we can provide your firm with expertise in Protocol related litigation matters. Watch the interview
January 24, 2022
We welcome the opportunity to learn more about your needs, and to explore whether Capital Forensics can be of help. Contact Eric Siber, Managing Director, at (888) 970-1700, or at: eric.siber@capitalforensics.com
