Wall Street is a natinally recognizedexpert witness and compliance consulting company providing compliance resources and litigation support to law firms, private practice attorneys, broker dealers, registered investment advisors and public individuals since 1997.

Throughout all phases of the litigation process our experts work closely with your team to identify the key issues critical to your case, develop litigation strategies, assist in discovery, draft expert reports, prepare a variety of damage analyses, sit for depositions and provide credible testimony at hearings vital to winning or defending your case.

Our experts are the industy's finest sales supervisors and compliance officers. Religiously screened for competence and subject matter expertise, our experts have the extensive background, licenses and credentials you need to get the results you desire.

Areas of expertise:

  • Fiduciary Responsibility
  • Fraud
  • Suitability, Churning and Concentrations
  • Industry Standards
  • Negligence
  • Failure to Supervise
  • Operations Supervision
  • Research Department Supervision
  • Branch and Compliance Supervision
  • FINRA and SEC Regulations
  • Custodian Liability
  • Damage Analysis
  • Complaint Management and Settlement
  • Client Communications
  • Advertising and Marketing
  • CRD and IARD System Aministration
  • Anti-Money Laundering
  • Form ADV Part I and II
  • Audits and Inspections
  • Account Surveillance and Review
  • Firm Policies and Procedures Development and Testing
  • Employee and Management Disputes


  • Stocks
  • Options
  • Mutual Funds
  • Fee Based Accounts
  • Private Placements
  • Derivatives
  • Asset Backed Securities
  • Government Securities
  • Government Bonds
  • Penny Stocks
  • Foreign Funds and Securities
  • Trading Desk and Settlement Issues
  • Preferred Stocks
  • Municipal Securities
  • Junk Bonds

For more information regarding out expert witness services, please contact us directly at 917-653-3894.