top of page

Broker-Dealer Compliance &

Investment Banking Expert Witness

Brokerage Compliance Expert Witness | Investment Adviser Compliance Expert Witness

Broker Dealer Compliance Expert Witness

Christopher Carroll, JD

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 Corporate Finance sectors.

Mr. Carroll is a member of the Financial Industry Regulatory Authority (“FINRA”) Arbitrator Roster and serves as a Non-Public Arbitrator for a variety of cases, specifically those that are within the securities industry. He is also qualified as an arbitrator for the National Futures Association (NFA) in matters relating to violations within the commodities and derivatives marketplace..  

 

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 (both FINRA as well as the 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 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 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 regulatory advice, business plan development, financial modeling, and the drafting of documentation relating to capital raising activities, including PPMs. 

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 or the National Futures Association (NFA) as a Principal, Registered Representative, or Commodities Representative

​

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. 

​

​​

Christopher Carroll is retained as an
Expert Witness & Consultant for the following:
​Business Assessments
​
  • Capital Raising Strategies
  • Bridge Loan Financing Structures
  • First Mortgage & Mezzanine Financing
  • Corporate Financial Statements Analysis
  • Financial Modeling
Broker-Dealer Compliance & Operations
​
  • Compliance Review of Complex Trading Strategies
  • Suitability Requirements / Customer Protection
  • Oversight of Branch Office
  • 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
Modern Office Building

For general inquiries or a complimentary case analysis by Christopher Carroll, please use our contact form:

bottom of page