Bedford And Main Financial Consulting Inc.

Bedford And Main Financial Consulting Inc.

John T. Foster

147 Fern Ave Collingswood, NJ 08108

About the Expert

Mr. Foster calls upon his "C" level experience in the broker-dealer industry to provide current and relevant securities expert witness services. Following his 35 year career, he continues to be actively engaged as the CEO of Bedford & Main Financial Consulting. Mr. Foster is adept with financial services expert witness issues related to FINRA compliance regulations. He is also proficient in matters related to financial advisors, which frequently are subjects of FINRA arbitrations.

Areas of Expertise

  • Investment Banking
  • Securities

Expert's Profile

Bedford and Main President and CEO, John Foster, calls upon his unique background in broker-dealer management to offer subject matter advice and testimony as a securities expert witness. He is proud to represent either side of the legal table in assisting to support an ethical and honest industry with the highest standards of fairness for broker-dealers and clients alike.

The three distinguishing attributes of Mr. Foster’s securities expert witness and litigation service include:

1. Senior Level Experience - It is notable that few securities expert witness's CVs match our decades of high-ranking management experience in the broker-dealer industry.
2. Still Actively Engaged – We conduct our securities expert witness business as a natural extension of our core industry consulting, which is focused on supporting broker-dealers.
3. Selectivity - It would not be possible to hold to our standards of supporting the industry if we were not selective as to specific issues and our ability to ethically provide an expert opinion.

Mr. Foster’s business model is founded on being the right match to provide a valued service. As such, he is happy to review a claim “on our time and expense” to determine if he has the proper background and agreement to support a case.

Mr. Foster’s general expertise, written opinions and testimonies encompass the following topics:

• FINRA Compliance and Regulations
• Supervision
• Suitability
• Churning
• Senior Issues
• Financial Advisor Heightened Supervision
• Outside Business Activities
• Private Security Transactions
• Written Supervisory Procedures (WSPs)
• SEC Direct Market Access (15c3-5)
• US domestic broker-dealer operations
• International trading, settlement and custody
• Non-US foreign accounts
• Trade Settlement
• Clearing
• Master Accounts and Sub-accounts (FINRA 10-18)
• Anti-Money Laundering (FINRA 3310)
• Books and Records (SEC 17-a-3)
• Discount web broker-dealers
• Independent broker-dealers

Licenses and Certifications:

Passed FINRA Series 3,7,24, 27, 63.
Certified FINRA Dispute Resolution Arbitrator.
Certified Anti-Money Laundering Specialist (CAMS)

Listed in the Following States

Bedford And Main Financial Consulting Inc. is listed with ExpertPages in the following jurisdictions: All US Regions and States.