Chris McConnell

Chris McConnell & Associates

Chris McConnell
12121 Wilshire Blvd Suite 501 Los Angeles, California 90025

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3109436509

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Education, Certifications & Awards
BA Economics / Accounting option, Rutgers University MBA, Pepperdine University CPA exam - successfully passed, NY State Accountancy board AIFA, ACCREDITED INVESTMENT FIDUCIARY AUDITOR, Center for Fiduciary Studies NASD licenses previouly held - Series 3, 4, 7, 8, 9, 63, 65 California insurance licenses previously held - Life, variable annuity, long term care
Areas of Expertise
Expert witness, reports, testimony breach of investment fiduciary duty in FINRA securities arbitration, divorce, family trusts, non-profits, foundations and endowments and ERISA, Taft Hartley and Public Employees pension benefits matters. Expert in compensation, employment, training, compliance, supervision, valuation - securities \| financial services industry.

Keywords: Stock broker, Securities FINRA, Hedge fund, Investment Adviser, Trustee duty.

Categories: Compensation & Corporate Boards & Taxes & Investments & Regulatory Compliance & Human Resources

Bio

25 years industry and expert experience.

Accredited Investment Fiduciary Auditor, Center for Fiduciary Studies 2003.

Chris McConnell & Associates, founded 2003, conflict-free, independent.

Fiduciary duties, performance, liability and damages analysis.

Any asset, investment, insurance or annuity, intellectual or real property often requires a fiduciary duty / standard of care (what and how things need to be accomplished); not just an agent standard. Fiduciary duty status is determined either by control and or intruments and or statutory authority.

Cases in: Trust, Estate, Probate; Non-profits, Foundations, Endowments; Divorce; Securities Futures; State and Federal Regulatory agency; ERISA, Taft Hartley and Public Employees pension and retirement plans. Also IRA and IRA Rollovers and custodial, guardianship, Coogan and conservatorship accounts.

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Chris McConnell

Chris McConnell & Associates

Education, Certifications & Awards

Areas of Expertise

Bio