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FINRA Expert Witness

Professional Financial Industry Regulatory Authority Expert Witness Services

  • Advanced Technology and Tools
  • Extensive Knowledge and Specialization
  • Prioritize Ethical Practices
  • Commendable Years of Experience
  • Consistency in Deliverance
  • Effective and Transparent Communication
  • Comprehensive Methodology
  • Global Team Support 24/7
  • Trusted Professional Experts
  • Promising Testimonials Demonstration

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Blue Ocean Global Technology’s CEO and Co-Founder Sameer Somal qualifies as an expert witness in cases that require substantive and rigorous expertise in internet-related matters.

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Blue Ocean Global Technology Offers the
Following Expert Witness Services:

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Testifying Expert Witness

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Non-testifying Expert Witness

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Expert Advisor

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Expert Consultant

Achievements

Sameer Somal the CEO of Blue Ocean Global Technology

sameer-somal-commercial-litigation-expert-witness
  • Sameer Somal, the CEO of Blue Ocean Global Technology and co-founder of Girl Power Talk is a frequent speaker at conferences on digital transformation, diversity & inclusion, online reputation management, and relationship capital
  • Somal is a published writer and internet defamation subject matter expert witness
  • He is an active member of the Society of International Business Fellows (SIBF)
  • He is a recipient of the CFA Institute 2022 Inspirational Leader Award
  • He assists clients and helps them transform their digital presence
  • He is a member of the Legal Marketing Association (LMA) Education Advisory Council
  • He serves on the board of the CFA Institute Seminar for Global Investors and Future Business Leaders of America (FBLA)
  • Somal leads collaboration with exclusive groups of PR, law, and management consulting agency partners
  • He authors Continuing Legal Education (CLE) programs, in collaboration with the Philadelphia Bar Foundation

Expert Witness Services at Blue Ocean Global Technology

In 2015, we received multiple inquiries from law firms in search of expert witnesses for their cases. We promptly set our team in motion, and as a result, these firms now attribute our well-documented client expertise as a key factor in their decision to engage our services.

Subsequently, numerous other law firms have also sought our expertise as expert witnesses, seeking assistance with online defamation cases for both themselves and their clients.

Strengthen your Case with our FINRA Professionals

Fortify your case strategy by learning more about the Financial Industry Regulatory Authority. Ensure your case’s success with our experts.

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Enhance Your Case’s Potential With Our Finra Expert Witness

Due to the numerous niches that can be subject to litigation, an expert witness is crucial to include during case strategy. They’re also helpful for the pre-trial hearing or court proceeding. When it comes to cases involving financial regulations, securities, and accounting disputes can be particularly challenging. Enter the Financial Industry Regulatory Authority (FINRA) expert.

Our FINRA expert consultants provide specialized knowledge and testimony in cases involving financial disputes, regulatory compliance, and other industry matters. These experts can be instrumental in your case’s success. Learn more about the role, function, qualifications, and activities of these experts.

Qualifications Necessary for a FINRA Professional?

To qualify, one must have a deep understanding of the financial industry. They must also have extensive experience in areas such as securities, investments, and compliance. Key qualifications include for a financial industry regulatory authority expert:

  • Relevant Experience: Experience in the securities industry, including roles such as a broker, investment advisor, compliance officer, or other financial services professional.
  • Educational Background: Advanced degrees in finance, economics, business administration, law, or related fields are often preferred.
  • Certifications: Professional certifications such as Certified Financial Planner (CFP), Chartered Financial Analyst (CFA), or Certified Public Accountant (CPA) can be advantageous.
  • Reputation: A strong professional reputation and a history of ethical behavior in the financial industry. Furthermore, they must be able to demonstrate their ability to provide unbiased and objective opinions.

What Are the Roles and Responsibilities of a FINRA Expert Witness?

A Financial Industry Regulatory Authority expert may perform a variety of tasks through different stages in a case. Some of an expert witness’s roles include:

Pre-Trial/Pre-Hearing Activities

A Financial Industry Regulatory Authority professional will typically get involved in proceedings early. They may explain technical terms and details to assisting attorneys. Before the case begins, they may prepare detailed reports and review and analyze case documents to identify pertinent information.

Trial/Hearing Activities

Once a trial gets underway, expert witnesses will guide attorneys on financial matters and help develop core strategies. They may also be called on to testify. During this process, the opposing counsel will have an opportunity to cross-examine the witness.

One of the most important functions of FINRA professionals is to make technical information more digestible. To do this, they may use graphs, charts, and other visual aids.

Post-Trial/Post-Hearing Activities

If the team achieves the desired outcome, the expert may offer a post-trial analysis and additional consulting services. Otherwise, they may offer additional technical insights as the team discusses potential appeal opportunities.

What Are the Types of Cases Involving FINRA Experts?

Generally, a financial industry regulatory authority expert witness may be involved in four different types of financial proceedings:

Arbitration Cases

During arbitration, our financial and regulatory team can provide essential insights and testimony to help resolve disputes. Such disputes are often between consumers and brokerage firms or those involving financial advisors. Their objective analysis helps arbitrators understand the case and determine a fair resolution.

Enforcement Actions

Suppose the SEC, the Financial Industry Regulatory Authority, or another regulatory body takes action against a broker or financial firm. The broker or firm that faces sanctions and disciplinary actions may call in an expert. Their knowledge will be crucial as arbitrators or courts determine whether the defendant violated regulatory standards.

Litigation

Entities facing lawsuits alleging fraud, breach of fiduciary duty, or misrepresentation may enlist the services of a FINRA expert. The witness will help the court understand the context of the incident and assess damages.

Compliance and Regulatory Cases

A financial industry regulatory authority team also assists in cases related to regulatory compliance. They evaluate whether institutions have adhered to industry standards and provide crucial evidence in compliance-related disputes. They may also aid in investigating entities accused of misconduct or improper practices.

Our Methodologies as FINRA Expert Witnesses

Document Review and Analysis

Your assigned expert will take a deep dive into trade records, account statements, compliance documentation, and other relevant information. They will also analyze communication records to better understand the relationship between involved parties.

Financial Analysis

A Blue Ocean Global Technology financial expert witness will assess investment recommendations and evaluate the performance and risk of financial instruments. This allows them to illustrate whether a fiduciary party honored their duty to stakeholders and investors.

Reporting and Testimony

Finally, our team will prepare a detailed report to inform legal counsel during trial prep and deliver strategic testimony. The main goal is to make complex information more digestible to the target audience.

Work with the Industry’s Best Financial Industry Regulatory Authority Experts

Our professionals can be involved from deposition to post-trial. They can ensure you know whether it’s best to switch to arbitration.

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What People Say About Us

-Marcelo Suárez Castillo, CFA Thank you for your engaging and interactive presentation on the topic of digital transformation at oour executive strategy retreat in the Cayman Islands.Your session allowed us to learn how technology has rapidly evolved across geographies and how it is changing our way of thinking. Moreover, we were able to recognize the impact of social media in house holds and companies. The various examples that you provided confirm the importance of leading digital change for the benefit of consumers in an increasingly complex world. We enjoyed your presentation which proved insightful, enriching, and highly participative. It sparked our curiosity to learn more and about digital marketing and the importance of creating business and professional networks in cyberspace. We look forward to having you again speak on such a vibrant topic which is transforming lives

 
-Wesley Symank I really appreciated your presentation. You packed so many nuggets of knowledge into a some what brief session. It was more than I expected And, to be honest, I wasn’t going to attend until I saw it was you who would be presenting. I also liked how you emphasized the importance of authenticity, how bringing your unfiltered personality helps make relationships deeper more quickly, and after ward more resilient and longer lasting. The example of an open-ended question such as “So, what has brought joy into your life lately?” really resonated with me. I want to come up with a few variations of this to use with people I meet, and also as an alternative to the perfunctory “so how’re ya doing?” I really enjoyed hearing your story and feeling your enthusiasm. I know we will be benefiting from your gift for a long time to come

 
-Brittney Bagiardi The Legal Marketing Association’s Tampa City Group was honored to have Sameer come to speak with us regarding Online Reputation Management. Sameer is an energetic presenter who took the time to answer each and every one of our questions. His expertise was evident in his polished presentation, and our members were engaged thoroughly. All communications leading up to the event were timely and friendly, and I have enjoyed my time working with Sameer on this speaking engagement.

 
-Adam M. Ludwin As an attorney who was defamed by a defendant in a case, while representing several plaintiffs, my family and I came under attack professionally and personally. It became crucial for me to find a top-notch expert witness, someone who could understand the gravity of the situation and best represent on putting real context on damages. After thorough research, I interviewed many expert candidates. When I interacted with Sameer, it was different and I knew he was the right fit. Sameer impressed me with his diverse experience and emotional intelligence. He possesses all the intangibles you want in an expert witness. He also had genuine care and empathy towards what my family and I had endured.

We worked collaboratively to best represent our case. The day before trial we were fortunately able to reach a settlement. Sameer’s expert report and detailed analysis on damages played a pivotal role in achieving this favorable outcome. Being an attorney who was also the plaintiff in this case, I did not have a margin for error. Sameer educated and guided me through all our options on the defamation and digital front. His meticulous documentation of the events, qualified opinion on the impact, and his ability to justify significant damages were an asset. I’m grateful for his unwavering support. He has my favorable recommendation and please reach me directly for additional perspective on why you should consider Sameer and his firm Blue Ocean Global Technology. They are highly recommended.

 
-Colin McMahon I highly recommend Sameer for his skills and integrity. Sameer and I were expert witnesses for the plaintiffs on a defamation case, and I’m not afraid to say I learned a lot from him and his work. He has a first-rate grasp of the dynamics of the news media industry, particularly of the power and reach of digital media. He was respectful of my background and experience in news media, including my time as editor-in-chief of the Chicago Tribune and chief content officer of Tribune Publishing, and he showed a keen understanding of the audience trends and economic forces at play in today’s publishing industry. Sameer showed sharp instincts, a deep knowledge base, and complete integrity in producing the damages report for the plaintiffs in the case for which we served as expert witnesses. I hope I get the opportunity to work with Sameer again.

 
-Eric Walberg Sameer was an absolute pleasure to deal with and a real asset in a case involving damaging online reviews that seriously harmed my client, an entrepreneur in the mortgage and restaurant industries. With urgent deadlines on an expert report, Sameer was diligent and made our case a priority. He took the time to interview our client and prepared a comprehensive report with supporting appendices. During the follow-up deposition, Sameer was impressively well-prepared, confident, and articulate.

Sameer’s extensive knowledge of defamation, internet search, and digital reputation is grounded in his role as CEO of Blue Ocean Global Technology, where he has helped hundreds of clients address these issues and proactively leading campaigns to build a positive online presence. If you are seeking a knowledgeable and experienced expert for a case involving digital reputation or advertising, Sameer merits strong consideration.

 
-Julie Jakmides My client, a public official, hired Sameer in high-profile defamation litigation to provide an expert report and be prepared for testimony both remotely and at trial following an extensive search by my office. Our case involved defamatory content that was almost exclusively online and posed a very difficult damages calculation. When we brought Sameer on board, the litigation was already on a very tight case management schedule, but I am forever thankful he and his team worked quickly, and efficiently, and they were always available to communicate. Sameer and his incredible team analyzed the complexities of defamation on the internet and he offered a thoughtful and compelling opinion on damages. I highly recommend Sameer as an expert witness.

 
-Mark Scott My client retained Sameer to serve as an expert witness in a defamation lawsuit, including the damages analysis. Sameer testified at the trial before the Orange County Superior Court in California. Even opposing counsel acknowledged on the record Sameer’s impressive qualifications. His demeanor in court was excellent and he seamlessly fielded questions from counsel and the court. From a lawyer’s perspective, Sameer was a great witness. Likeable and knowledgeable. Plus he worked really hard and devoted the time necessary to become fully prepared.

 
-Stephanie O'Byrne Sameer testified as the “closing” or anchor expert witness in our TM infringement trial in federal court. He not only provided a thorough and well-considered expert report on SEO issues, but Sameer is also a fantastic communicator that developed a great rapport with the jury. His testimony was clear and engaging. Sameer is energetic and passionate in his work and this really translated on the stand. His enthusiasm on and off the stand was incredible, including being on hand to assist the trial team in any capacity he could during trial preparations. I believe our entire team would agree that Sameer was an incredible asset to the case. Just as importantly, he truly values the personal connections that he builds along the way. I could not provide him a higher recommendation for future expert work and consulting. Thank you again, Sameer!

 
-Ammar Idlibi I am a board-certified pediatric dentist practicing in Bristol, Connecticut. I needed an expert witness with broad experience, qualifications, and expertise in a sensitive defamation lawsuit. After exhaustive research, I had the privilege of interviewing and hiring Sameer Somal, the CEO of Blue Ocean Global Technology. Reference draft: I can confidently say that Sameer is not only an exceptional professional, he is also a compassionate and empathetic person. Collaborating with him was a positive experience that I am genuinely grateful for. Sameer demonstrated a relentless work ethic and commitment to objectively representing both what had taken place and its impact. Working closely with Sameer and leveraging his experience gave me peace of mind and clarity.

 


 

FAQs

FINRA expert witness

  • What qualifications does someone need to be a financial industry regulatory authority expert witness?

    A FINRA expert must possess relevant experience, a finance-related degree, and advanced certifications relevant to their area of expertise.

  • What role does a FINRA expert witness fill?

    A financial industry regulatory authority witness can provide testimony regarding regulations, best practices, and relevant finance laws.

  • Should I hire a financial industry regulatory authority Professional?

    In complex cases involving financial regulations, a FINRA expert witness may support your arguments and help you achieve a favorable outcome.

Still have questions?

We’re here to assist! Feel free to leave all your inquiries and we will schedule a complimentary consultation today to chat about your online presence requirements.

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Reputations are everything.
Let us help you control the online narrative.

A positive reputation is a valuable asset. You deserve to be in control of what the internet says about you or your brand. We specialize in building, monitoring, and protecting digital reputations. Schedule time with our team to audit your existing digital presence and find ways to elevate and enhance your online impression.

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Reputations are everything.
Let us help you control the online narrative.

A positive reputation is a valuable asset. You deserve to be in control of what the internet says about you or your brand. We specialize in building, monitoring, and protecting digital reputations. Schedule time with our team to audit your existing digital presence and find ways to elevate and enhance your online impression.

Error: Contact form not found.

Reputations are everything.
Let us help you control the online narrative.

A positive reputation is a valuable asset. You deserve to be in control of what the internet says about you or your brand. We specialize in building, monitoring, and protecting digital reputations. Schedule time with our team to audit your existing digital presence and find ways to elevate and enhance your online impression.

Error: Contact form not found.

Error: Contact form not found.

[showchatbox]

Brittney Bagiardi

Business Development & Marketing Manager at Butler Weihmuller Katz Craig LLP February 4, 2020

The Legal Marketing Association's Tampa City Group was honored to have Sameer come to speak with us regarding Online Reputation Management. Sameer is an energetic presenter who took the time to answer each and every one of our questions. His expertise was evident in his polished presentation, and our members were engaged thoroughly. All communications leading up to the event were timely and friendly, and I have enjoyed my time working with Sameer on this speaking engagement.

Tamie Maffeo

Marketing Manager at NEIRG Wealth Management. & Business Succession Advisers, LLC

Working with Sameer and the team at Blue Ocean Global Technology has been such a positive experience! The ongoing communication combined with the efficiency of work of the team is very much appreicated. Sameer is quick to respond to any questions we may have. He and his team is quick to to resolve any questions that arise. They go above and beyond for us no matter what day or time we reach out. I have had many dissapointing engagements over the years with similar firms but must say that this is a refreshing experience. I am in a niche business with complicated regulations surronding our marketing platform. Having the peace of mind that the team at Blue Ocean is there to impliment and guide our firm gives me great satisfation. That being said, I give them my highest reccomendations and would gladly speak with anyone who has any questions regarding my experience.

Jay Chong

EVP, Head of e-Mobility Group at SK Group

I had a chance to work with Sameer for several months, and he has been one of the most transparent and responsible people I have ever worked with. He has been highly responsive, always responding within a day despite the time zone difference, and thoughtful, which was a big relief for me as some I worked with in the past were "Catch Me if You Can". He has delivered all his promises and more. He has been genuine and results oriented. It has been a pleasure working with him, and I highly recommend his service.

Vern Hayden

Client Advocate at Sovereign Financial Group, Inc

Sameer lives outside the cliche’s of life. Let me put it this way:

If you were looking for someone totally committed to helping in a mission, a cause, or company you would want Sameer.

If you were looking for someone who would drop everything to help you, who knows the best and worst about you, someone with empathy and understanding, in short someone you call a “true friend” , you would want Sameer.

If you want someone who has aligned themselves with the great causes of women you will want Sameer. If you want someone who gives a damn about kids that are abused,misplaced,without direction,kicked to the curb, and need help get Sameer.

If you want someone to give a mesmerizing presentation get Sameer. He will stay up all night doing relentless research on the subject and the audience and inspire your audience to action.

If you want someone with a consistent well defined philosophy of life combined with a remarkable code of ethics you want Sameer.

If you want a leader with emotional and academic intelligence combined with magnetic charisma check in with Sameer.

If you want a team player who has been in the trenches as well as the mountain tops Sameer has been there.

If you want someone to help stabilize your business and take it to greater fulfillment Sameer will be there for you.

If you need a George Gilder tech genius as a resource., Sameer knows the best and can bring innovative solutions to your challenges. ( the right wing radio host Rush Limbaugh said if he could choose another brain it would be Gilder’s.)
If you need someone to trust with integrity and accountability you need to meet Sameer. I could go on but I think you know how I feel about this guy now. I have known and been a friend for over two decades.

Najah A. Edmondson

Marketing professional at National Center For College & Career Transitions (NC3T), The TASA Group and ASK For Tutoring

Sameer Somal is a personality you cannot forget! I met Sameer one year exhibiting at the Delaware Valley Legal Expo in King of Prussia, PA. It was the end of the night and he came over to introduce himself to me and my colleague. We engaged in an amazing conversation about The TASA Group and about relationship management. He helped us take our belongings to the car at the end of the night. We all left with a new connection and a lifelong friend. So excited with meeting Sameer, we immediately figured out how we could work together - webinars, articles and in-person presentations to some of the organizations we are partnered with. It's been a few years since we met and Sameer continues to thrive in his field and in his expertise. The light he exudes is both infectious and comforting. I would recommend Sameer for any job!

Walt Wiesenhutter

Certified Small Business Mentor at SCORE Mentors Philadelphia. Taught at Harvard University Executive MBA & at Columbia Executive MBA & Northwestern Executive MBA

My name is Walter J. Wiesenhutter and I am loyal client of Sameer Somal’s and Blue Ocean Global Technology. I founded Jay Associates in 1984 and served as president of our consulting company for several decades. Regretfully, our offices were in the World Trade Center in 9/11 and we lost key team members as a result of those tragic events. We persevered for the next few years to replace the seemingly unreplaceable. I met Sameer, one of the co-founders of Blue Ocean Global Technology in 2005. I was immediately impressed with his genuine character and commitment to serving others. The emergence of the internet and digital technology changed our business so much and our meeting couldn’t have been more serendipitous. I was quite fortunate to learn of this company’s world-class resources. Over the years, they were instrumental in improving our stellar reputation and building a digital presence that reflected the trust we had with our clients offline. As business partners, clients, and friends complained about their Google presence, disappointing web development projects, and digital marketing companies over promising and under delivering, I referred them directly to Sameer and his team at Blue Ocean Global Technology. Their needs and requirements were always handled with care; the feedback is always exceptional because they deliver results based on exactly what the companies want to help them grow. When Blue Ocean Global Tech did not feel they could provide the best service or guidance on a particular situation, Sameer and his colleagues are honest with me or anyone from my network. They then took the time to find resources and partners within their trusted network that were a better fit. Today, at 75, I am delighted to share and document my successful experiences with this team of excellent professionals. If you are looking for a global team that is diligent, honest, and transparent, you have found the right company in Blue Ocean Global Technology. Not only do I give them my highest and best recommendation, I feel fortunate to call many of their global team members my friends!

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