John Duval Associates LLC is a firm recognized
for its expertise in securities litigation and SRO rules
and regulations. We bring integrity and insight in addition
to years of industry experience to our consulting and testimony.
We have held most private client brokerage firm positions, including:
Administrative Assistant, Registered Representative, Branch Office
Manager, Variable Annuity Product Specialist, and District Management.
Our work at major security firms gives us a thorough understanding
of securities, markets, sales practices, risk evaluation and SRO
rules and regulations.
John is an arbitrator for the NASD and New York Stock
Exchange. In addition to his litigation consulting business,
he is a Registered Investment Advisor and provides continuing education
and training to broker-dealer firms.
WHAT
WE DO