Jay RosenChairman Emeritus

Jay founded CFI in 1993, and under his direction the firm has grown to be one of the financial services industry’s most highly respected authorities in litigation and arbitration support, as well as in consulting on regulatory and compliance matters. He is recognized for development of several industry innovations, including CFI’s MockArb® Process.

He possesses more than 40 years of securities industry experience, including roles as a Financial Advisor, Branch Manager and Regional Manager, and continues to provide CFI clients with expert analysis and testimony in securities and ERISA related cases. Over the course of his career, Jay has testified in both damages and industry related matters more than 350 times.

Prior to founding CFI, Jay was President and Founder of The Capital Control Group, Ltd., a pension and asset management consulting firm that also provided retail brokerage. He served as Trustee and Secretary for a large labor fund representing multiple large employers.

Jay’s broad range of expertise includes broker conduct – suitability, churning and supervision –  fiduciary duties in trust management; investment strategies including options, annuities, insurance and mutual funds; market manipulation; industry standards and best practices, and calculation of damages.

He was previously associated with Merrill Lynch, Oppenheimer, Drexel Burnham and CCG. He has held Series 3, 4, 7, 8, 12, 24, 63 and 66 securities industry licenses.

CONTACT INFORMATION:

Email: Jay.Rosen@CapitalForensics.com

Phone: 847-392-0900

Address: 1530 East Dundee Road, Palatine, IL 60074

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