Expert Witness for FINRA SEC Regulatory Matters

Expert Witness & Consulting Professional - FINRA / SEC Regulatory Matters

Barrington Capital Management, Inc. is seeking highly qualified Expert Witnesses for consulting and testifying engagements in securities litigation and arbitration matters.

Overview

This role involves providing expert testimony and consulting services related to FINRA, SEC, and CBOE regulatory matters. We are looking for former FINRA regulatory professionals and experienced Chief Compliance Officers (CCOs) with extensive broker-dealer and/or investment adviser compliance backgrounds.

Who We Are Seeking

FINRA / Regulatory Professionals:

• Former FINRA Examiners, FINRA Enforcement Staff, or FINRA Office of Dispute Resolution professionals (strongly preferred).
• Former SEC Division of Examinations (OCIE) professionals with FINRA-interface experience.
• 10+ years of direct, hands-on experience with FINRA, SEC, and/or CBOE rules, regulations, and examination procedures.
• Deep working knowledge of FINRA rulebooks (current FINRA Rules, applicable legacy NASD Rules, and relevant Exchange Act provisions).
• CBOE rules and options regulatory experience is a significant plus.

Chief Compliance Officers (CCOs):

• 10+ years serving as CCO or Senior Compliance Officer at a FINRA-registered broker-dealer, dually-registered firm, or RIA.
• Demonstrated, practical expertise in designing, implementing, and supervising Written Supervisory Procedures (WSPs).
• Direct experience managing FINRA cycle examinations, for-cause examinations, and regulatory inquiries.
• Working knowledge of FINRA Rules, SEC Regulation Best Interest (Reg BI), suitability standards, and AML/BSA compliance requirements.
• Experience with options supervision and CBOE compliance is a plus.
• CCOs with prior experience at both large wirehouses and independent broker-dealers are of particular interest.

Typical Engagement Areas

• Suitability / Regulation Best Interest (Reg BI) violations
• Supervision failures and WSP deficiencies
• Failure to supervise – branch office and OSJ oversight
• Churning / excessive trading / unauthorized trading
• Options and derivatives misconduct
• Variable annuity and complex product sales practices
• AML / BSA compliance failures
• Books and records violations
• Disclosure failures and conflicts of interest
• Registered representative registration and licensing issues

Ideal Candidate Profile (All Candidates)

• Able to serve in both a consulting capacity (case assessment, strategy, document review) AND as a testifying expert.
• Comfortable being deposed and cross-examined by highly experienced, well-resourced defense counsel.
• Demonstrated ability to produce clear, well-reasoned, and thoroughly documented expert reports.
• Prior experience opposing major defense firms in FINRA arbitration, federal court, or state court proceedings preferred.
• Maintains current, up-to-date knowledge of evolving FINRA, SEC, and CBOE regulatory guidance.
• No material conflicts of interest with major broker-dealers or their affiliated entities.

Job Details

• Position Type: Independent Contractor / Consulting & Testifying Expert Witness
• Engagement Type: Case-by-case / As-needed | Both Consulting and Testifying Roles
• Compensation: Negotiable hourly rate commensurate with experience and scope of engagement.
• Experience Required: 10+ years in FINRA, SEC, and/or CBOE regulatory compliance, examination, or enforcement.
• Preferred Background: Former FINRA Examiner | FINRA Enforcement Staff | Chief Compliance Officer (CCO) | Former SEC OCIE Staff
• Practice Areas: FINRA arbitration, securities litigation, federal and state court proceedings.
• Location: Remote / Nationwide
• Availability: Immediate and ongoing engagements.

To Apply:

Please submit the following to: Info@BarringtonCap.com

• Current CV or resume
• Prior testifying engagements list (if applicable)
• Brief summary (one page or less) of your areas of deepest regulatory expertise

All inquiries held in strict confidence.

Key skills/competency

• FINRA Regulatory Compliance
• SEC Regulatory Compliance
• Expert Witness Testimony
• Securities Litigation
• Securities Arbitration
• Chief Compliance Officer (CCO)
• Broker-Dealer Regulation
• Investment Adviser Regulation
• Regulatory Examinations
• Written Supervisory Procedures (WSPs)