Broker-Dealer Compliance &

Investment Banking Expert Witness

Brokerage Compliance Expert Witness | Investment Adviser Compliance Expert Witness

Christopher Carroll

Over the course of his career, specifically the past twenty-five years within the financial services industry, Mr. Carroll has acquired a broad array of knowledge and experience from both a business operations as well as a legal/compliance perspective.  He has held various positions with member firms within the Compliance/Operations and Investment Banking/Corporate Finance sectors.  

Mr. Carroll is particularly experienced in matters involving the review of complex trading strategies to ensure suitability requirements/customer protection as well as issues which stem from the monitoring of Registered Representatives within the field force in compliance with directives from Self-Regulatory Organizations (Financial Industry Regulatory Authority "FINRA" / Securities & Exchange Commission "SEC").

His breadth of compliance oversight includes the management of branch offices on a day to day basis. Within the industry, he oversaw the activities of approximately 125 branch offices in a nine-state territory, and conducted/supervised both internal as well as regulatory audits of the firm’s Written Supervisory Procedures in addition to other investigations stemming from fraudulent trade practices.  Mr. Carroll was responsible for the creation and administration of the “firm element” training modules in compliance with FINRA guidelines. 

Mr. Carroll has also provided investment banking support to small and mid-sized companies, including assisting with capital raising efforts and other business consultancy services.  His advice has centered, in part, around mergers & acquisition and reorganization/spin-off strategies.  Other advisory services to clients have included regulatory advice, business plan development, financial modeling, and the drafting of documentation relating to capital raising activities, including PPMs.

Currently, Mr. Carroll serves as the Chief Financial Officer and board member of a lighting company. Mr. Carroll has authored and assembled various corporate governance documentation necessary for the Company, including Joint Venture Agreements, Corporate By-Laws, and Patent filings. 

 

Mr. Carroll provides objective expert opinions on the standard of care in the securities industry, based upon discovery, due diligence, and his technical knowledge. Retaining counsel is supported by his extensive research, expert witness and testimony. He is an articulate and persuasive speaker with a thorough understanding of FINRA rules and SEC regulations. 

Education

 

  • The George Washington University Law School, Washington, D.C.

    • L.L.M. – International & Comparative Law

    • Graduation Date: May 2011

  • The Oklahoma City University School of Law, Oklahoma City, Oklahoma

    • Juris Doctor

    •  Graduation Date: December 2008

  • Auburn University, Auburn, Alabama​

    • Bachelor of Arts - Major: Psychology; Double Minor: Marketing​

    • Graduation Date: December 1990

 

Qualifications

 

  • Previously acquired Professional Securities Licenses (FINRA):

    • Series 6 – Investment Company/Variable Contracts Products Limited Representative Examination *

    • Series 7 – General Securities Representative Examination * 

    • Series 24 – General Securities Principal Examination *

    • Series 28 – Introducing Broker-Dealer Financial and Operations Principal Examination*

    • Series 53 – Municipal Securities Principal Examination* 

    • Series 63 – Uniform Securities State Law Examination * 

    • Series 65 – Uniform Investment Advisor Law Examination *

 

      *No longer registered or affiliated with FINRA

Professional Experience

 

  • Broker/Dealer Compliance Operations – Led oversight and investigations into the following types of cases: failure to supervise, customer suitability, selling away, and breach of fiduciary duty.

  • Overall Business Assessments – Using corporate financial statements, prepared and implemented capital raising strategies.  Implemented bridge loan financing structures, Leveraged Buy-Out and Management Buy-Out facilitation, first mortgage and mezzanine financing, and initiated financing via restricted stock under Rule 144.

  • Federal Government Consultancy - Provided Legal/Regulatory advice on issues related to the Aviation Safety Division of the Federal Aviation Administration (FAA) and worked in conjunction with the International Legal Division for coordination with International Civil Aviation Organization (ICAO) policies and procedures.  Utilized “Lean” and Six Sigma principles during a cumulative three-year project to optimize the development of instrument flight procedures, eliminating “waste and re-work” within the procedural life cycle.

Geography

 

  • Located in Atlanta, Georgia; able to travel internationally. 

Business Assessments
  • Capital Raising Strategies
  • Bridge Loan Financing Structures
  • First Mortgage & Mezzanine Financing
  • Leveraged Buy-Out & Management Buy-Out Facilitation
  • Financing via Restricted Stock under Rule 144
Broker-Dealer Compliance & Operations
  •  Compliance Review of Complex Trading Strategies
  • Suitability Requirements / Customer Protection
  • Oversight of Branch Office Management
  • Investigations & Audits
  • Failure to Supervise
  • ​Selling Away
  • Breach of Fiduciary Duty
Investment Banking / Corporate Finance
  •  Mergers & Acquisitions Analysis
  • Reorganization & Spin-Off Strategies
  • Regulatory Advice
  • Business Plan Development
  • Financial Modeling
  • Corporate Financial Statements Analysis

Our Experts    |    Services    |    FINRA Arbitration    |    Mediation    |      Pro Bono Services    |    Contact

Barrington Financial Consulting Group, Inc.

3800 American Blvd West | Suite 1110 | Bloomington, MN  55431
800-741-0704  |  952-857-2411  |  Fax: 952-835-1504  |  E-mail


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