Capital Forensics
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  • Data Analytics

    • July 10, 2017
    • Posted by: giawatkins
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    We make big data more accessible, understandable and actionable Data Analytics Data analytics serves as the cornerstone of our business. CFI is recognized for its ability to capture, analyze, simplify and explain complex or large sets of data. This helps clients understand a situation, establish a reliable course of action and support a position. At
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  • ArbSelector

    • October 24, 2017
    • Posted by: giawatkins
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    ArbSelector®-- Proven and Perfected Over 10 Years ArbSelector® is a comprehensive, interactive tool that enables legal counsel to make fully informed, strategic decisions in their selection of FINRA arbitrators. Over the past decade, ArbSelector® has become recognized as the industry standard for this important due diligence task. Based on an unmatched volume of case data,
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  • Fraud & Forensic Investigation

    • October 25, 2017
    • Posted by: giawatkins
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    Companies dislike the term ‘turnaround consulting’ because it represents failure. The truth is that turnaround consulting represents success.

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  • Compliance, Regulatory and Risk Consulting

    • August 16, 2017
    • Posted by: giawatkins
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    Companies dislike the term ‘turnaround consulting’ because it represents failure. The truth is that turnaround consulting represents success.

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  • Subscribe to ArbReporter®

    • September 15, 2022
    • Posted by: giawatkins
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    We support every stage of the customer complaint life cycle 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
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  • Elder Abuse

    • November 5, 2021
    • Posted by: giawatkins
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    Helping Broker-Dealers and RIAs Protect Senior and Vulnerable Clients And their Families from Financial Abuse Financial Elder Abuse As financial abuse of elder and vulnerable clients has grown in the U.S., regulatory agencies at the national and state levels have intensified their resolve to protect those individuals, and have engaged financial institutions in that effort.
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  • Litigation Support

    • August 14, 2017
    • Posted by: giawatkins
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    We support every stage of the customer complaint life cycle Litigation Support Capital Forensics is engaged by respected firms and their legal advisors to help resolve complex issues, involving significant financial and reputational risks. We take that responsibility very seriously. CFI has decades of experience in all aspects of litigation and case resolution. This incorporates
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Recent Posts
  • CFI Professional Insights Series: Featuring Sue Light, Partner, Financial Markets & Funds, Katten Muchin Rosenman LLP
  • SEC Cites Reg BI in Civil Regulatory Action Filed Against Brokerage Firm for Sales of Complex Securities to Retail Investors
  • CFI Professional Insights Series: Featuring Richard Szuch, Enforcement Chief for the New Jersey Bureau of Securities
  • 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
  • CFI Managing Directors Provide Guidance on the SEC’s new Marketing Rule 2021
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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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