Gill GoodsonExpert Witness

Gill Goodson has nearly 40 years of financial services industry experience, predominantly focusing on Internal Audit and Risk Assessment with Banks, Broker-Dealers and Regulators.

He held positions with Hilltop Holdings, Southwest Securities, and the NASD (now FINRA) District 6 in Dallas, among other firms. Most recently, Mr. Goodson led the preparation of the annual risk assessment for assigned areas, and prepared the annual audit plan and its execution. He has led Internal Audit departments, initiated, planned, and directed all financial, operational, and technology audits, and wrote reports including recommendations on audit findings.

As a Field Supervisor with the NASD (FINRA), he performed risk assessments, quality assurance, special requests, and fraud investigations. Mr. Goodson also performed cycle examinations of broker/dealer compliance programs and systems, and analyzed sales practices, financial, and operational conditions.

Mr. Goodson holds Series 7 and 99 securities industry licenses and is a Certified Financial Services Auditor (CFSA). He also has a Certification in Risk Management Assurance (CRMA) from The Institute of Internal Auditors.

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