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 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.
We have the expertise to resolve complex issues.
We create customized solutions.
Each assignment is managed as a unique challenge.
We define success by your standards.
We go far beyond what’s expected of us.
Capital Forensics — By the Numbers
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
The SEC recently announced its Division of Examinations Observations: Investment Advisers’ Fee Calculations.
The SEC recently announced its Division of Examinations Observations: Investment Advisers’ Fee Calculations. The notice is expressly described as a follow-up to its 2018 Risk Alert. It highlights the importance of this topic with citations and guidance resulting from the focused examination of 130 firms referenced as the Advisory Fee Initiative. The key warning to advisers isNovember 22, 2021
As predicted in its 2021 Priorities Letter, the SEC has recently brought several enforcement actions against RIAs for failure to disclose conflicts involved in revenue sharing. In one case, the SEC alleged that the dual registrant RIA failed to disclose the conflicts involved in selecting cash sweep options offered through its Clearing Firm’s platform. AccordingAugust 9, 2021
CFI Professional Insights Series: Featuring Susan M. Boudrot, Compliance Professional and Consultant
Susan Boudrot is currently President of Susan M. Boudrot Consulting LLC. She was formerly the Global CCO of TD Ameritrade. Prior to TD Ameritrade, she ran her own successful consulting practice. She previously was CCO of Fidelity Personal & Workplace Investments, Vice President in Compliance at Charles Schwab, CCO and General Counsel at Brown &July 22, 2021
If you were unable to join the nearly 200 professionals who registered to attend this important webinar live on April 7th, you can still benefit from the insights and guidance of Advanced Techniques for Virtual Hearings, which featured panelists who possess extensive experience in virtual FINRA hearings. As we return to a more “normal”April 13, 2021
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: firstname.lastname@example.org