Securities Expert Witness

Thomas G. Taliaferro, CIMA®, AIF®
Suite 105
San Diego, California 92106


► Contact Thomas G. Taliaferro, CIMA®, AIF®
Expert WitnessForensic ExpertLitigation Support
Services
Mr. Taliaferro provides services in the following areas:
Registered Representative Abuse of Discretion
Broker-Dealer Supervision
Breach of Fiduciary Duty
Intra-Industry Compensation Disputes
Damage Analysis vs. Well Managed Account
Due Diligence in Regulation D Offerings
Broker-Dealer Employment Issues
Fiduciary Standard of Care for Financial Advisors
Financial Advisor Misrepresentation
Stockbroker Negligence
Registered Representative Outside Business Activities
Exchange-traded Fund (ETF) Suitability
Corporate Bonds
Hedge Funds
Suitability of Asset Allocation
Ponzi Schemes
Registered Investment Advisor (RIA) Regulations
Concentrated Securities Position
FINRA Rules & Codes
Areas of Expertise
- Asset Allocation
- Breach of Fiduciary Duty
- Due Diligence
- Economic Losses
- Hedge Funds
- Investments
- Ponzi Schemes
- Securities
- Securities Fraud
- Unauthorized Trading
Additional Expertise:
Uniform Prudent Investors Act, Churning, Suitability, Broker/Dealer Standards and Compliance, Investment Advisor, Portfolio Management, Elder Abuse, Financial Advisor, Financial Planning, Branch Management.
Areas Served
All States
More Information
Securities Expert Witness
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Professional Experience
Wells Fargo Advisors (2009-2016)
Senior Vice President
Senior Financial Advisor
Portfolio Manager
Morgan Stanley (1985-2009)
Senior Vice President
Senior Financial Advisor
Branch Complex Manager
Licenses
Series 7 - General Securities License - 1985
Series 3 - National Commodities Futures License - 1986
Series 63 - Uniform Securities Agent - 1986
Series 65 - Uniform Investment Advisor - 1995
Series 8 - General Securities Sales Supervisor and Options Principal - 1993
Affiliations
Investment and Wealth Institute
Center for Fiduciary Studies--FI360
Securities Experts Roundtable
Toastmasters International
Ocean Cruising Club – Port Officer