Henry FergusonExpert Witness

Henry Ferguson has more than 40 years of financial services experience. He held senior management positions at several respected firms, and has been the CEO of his own expert witness and litigation support firm for the past 32 years. Here, he has provided expert consultation and independent expert testimony for clients, and has also provided assistance in the area of continuing education programs for broker-dealers and investment advisors. He has testified and consulted as an expert in various state, regulatory and professional forums on a broad range of subjects, including suitability, churning, margin, anti-money laundering (AML) and account supervision. His past experience includes roles as:

  • Vice President of options and index futures at Oppenheimer & Co.
  • Vice President and manager of options trading at Blythe Eastman Dillon
  • Senior sales and marketing positions at Dean Witter & Co., Sutro & Co. and The New York Futures Exchange

Mr. Ferguson currently serves as an arbitrator for the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). He has held the Series 3, 7, 8, 24, and 63 securities industry licenses, an Interest Rate Options License and registration as an Options Principal Floor Trader.

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