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Capital Forensics
  • HOME
  • ABOUT
    • About CFI
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    • Experts
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    • Data Analytics
    • Litigation Support
      • ArbSelector®
    • Compliance, Regulatory & Risk Management Consulting
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HomeNews & ViewsSEC

SEC

  • SEC Review of RIA Mutual Fund Revenue Disclosures – It’s Not Just 12b-1 fees!

    • October 18, 2019
    • Posted by: giawatkins
    • Category: SEC
    No Comments

    The SEC recently announced its second wave of 12b-1 SCSD Amnesty Settlements.  It included one firm that was not a participant in the self-reporting initiative. It has also signaled that they are continuing to see these problems on exams, with firms who did not self-report. More troubling, but not surprising is the expected expansion of

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  • SEC to Chase New Share Class Cases Under ‘Best Interest’ Rules

    • July 8, 2019
    • Posted by: giawatkins
    • Category: SEC
    No Comments

    SEC to Chase New Share Class Cases Under ‘Best Interest’ Rules Article published on July 8, 2019 By Jill Gregorie The SEC’s efforts to weed out instances of conflicted advice are far from finished, even after settling 79 cases of share class overcharges earlier this year. The four-month amnesty period that the Securities and Exchange Commission

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  • CFI Sourced for Expertise on FINRA’s 529 Plan Initiative

    • March 25, 2019
    • Posted by: giawatkins
    • Category: FINRA, SEC
    No Comments

    Slammed by Fines, Distributors Move to Fewer Share Classes, Simpler Sales Terms Article published on March 25, 2019 By Jill Gregorie Mounting regulatory pressure will push funds to slim down the number of share classes they make available, consultants say. Earlier this month, the Securities and Exchange Commission announced settlements with 79 advisory arms of broker-dealers

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  • John Ivan comments on SEC Amnesty for Ignites

    • May 17, 2018
    • Posted by: giawatkins
    • Category: SEC
    No Comments

    Managing Director John Ivan commented for Ignites, an FT publication, on the industry’s efforts to volunteer information in advance of the SEC’s June 12th deadline for amnesty involving overcharging of clients.

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  • SEC Enforcement Division Provides Additional Clarification for SCSD Initiative

    • May 2, 2018
    • Posted by: giawatkins
    • Category: SEC
    No Comments

    The Securities and Exchange Commission’s Share Class Selection Disclosure (SCSD) Initiative, announced on February 12, seeks to protect advisory clients from, and return money to, those affected by undisclosed conflicts of interest. Under the SCSD Initiative, the SEC’s Enforcement Division will recommend standardized, favorable settlement terms to investment advisers who self-report that they failed to disclose conflicts of

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Recent Posts
  • Replay of Advanced Techniques for Virtual Hearings Webinar
  • CFI Professional Insights Series: Featuring Chris Lewis from Edward Jones
  • CFI Professional Insights Series: Featuring Jonathan N. Santelli
  • Why FINRA’s 529 Plan Self- Reporting Initiative Matters a Year Later For Participating Firms and for Firms That Did Not Participate
  • How to Prepare for and Conduct a FINRA Arbitration on Zoom: Insights & Best Practices
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For nearly 25 years, we’ve assisted business leaders and litigation teams in thousands of successful case resolutions and regulatory inquiries. Every case has a story. At Capital Forensics, we believe each story is best told by combining detailed analysis, instructive exhibits, and effective, unbiased testimony. This is the premise upon which the company was founded, and it remains our commitment today.

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ArbSelector® is a comprehensive and interactive report that summarizes each potential FINRA arbitrator’s awards, key cases and red flags – ranking each prospective panelist, based on over 30 different metrics. ArbSelector® provides attorneys and paralegals with a statistical overview that reduces the time and expense involved in making fully informed, side-by-side evaluations of arbitrators, based on the arbitrators’ prior cases and awards.

Supplemental reports are also available through ArbSelector®, covering a broad range of information, including: claimant attorney / firm history; cross-referencing of arbitrator with attorney and brokerage firm, and with product / issue; million dollar decisions and reasoned awards; and objective feedback from 3rd parties and Capital Forensics on specific arbitrators.

ArbSelector® is a highly flexible research tool. Depending upon your unique priorities and preferences, many of the weightings for the ArbSelector® metrics can be adjusted to provide customized rankings. In addition, ArbSelector® reports always distinguish Customer cases from Employment cases, so that each arbitrator can be more accurately assessed, based on prior relevant cases.

ArbSelector® also offers a final analysis of the selected panel, which serves as a useful tool for case evaluations and client communication, as well as settlement negotiations and mediation. ArbSelector® can also provide ongoing due diligence through the duration of any case, and report on any new awards released by FINRA involving your panel’s arbitrators.

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ArbReporter® is a weekly email communication – sent as a courtesy to Capital Forensics’ clients and other industry professionals upon request – that provides a comprehensive report of all FINRA awards from the prior week. ArbReporter® is a convenient tool for keeping up-to-date on FINRA arbitration activity.

Extracted directly from FINRA records, ArbReporter® contains all of the essential information, covering the nature of the case; relief request; all arbitrators involved; claimant and respondent; case disposition including any award amount and other damages; attorney names and affiliations.

To request a complimentary subscription to ArbReporter®, submit the form below.

MockArb® is a proprietary process designed to provide legal counsel and their clients with valuable, first-hand insights into the case-related issues and human factors that are most likely to drive the outcome of a high-stakes arbitration decision. With this reliable barometer of how an arbitration panel is likely to rule; legal counsel are well prepared to develop an effective arbitration or settlement strategy.

Similar in concept to mock trial methods designed to prepare for litigation, MockArb® involves a comprehensive, disciplined process which replicates the selection, engagement and evaluation of arbitrators, and uses that mock panel to test arguments, witnesses, evidence and responses in a controlled environment that very closely replicates an actual arbitration.

The most enduring benefits of MockArb® for legal counsel, beyond the specific case strategy involved, involve the direct insights that CFI’s proprietary process can provide into the human factors – individual personalities, established opinions and biases – that always influence the decision-making process.

The key to the success of MockArb® is its close adherence to the traditional scientific method: at every stage of the evaluation process – whenever a new witness or piece of evidence is introduced – the impact of that information or impression on the mock panel members is carefully evaluated before the process proceeds.

MockArb® can be structured to accommodate a broad range of case complexities, timeframes and budgets.

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