Mr. Chris McConnell AIFA

Chris McConnell & Associates
Los Angeles, CA 90025
Web Site
Phone: (310) 943-6509
Fax: (866) 818-2487

Chris McConnell AIFA® is an independent expert on the securities industry and fiduciary responsibility. He has over 31 years of experience. Since 2003 as an independent expert consultant, McConnell’s FiduciaryFORENSICS® assesses performance, liability and damages for both plaintiff and defense counsel as expert witness or consultant on, but not limited to banking, bankruptcy, insurance, FINRA, securities, hedge funds, private placements, derivatives, intellectual property, securities & financial services industry compensation, valuation and employment.
Account types not limited to include trusts, IRAs, ERISA, Taft Hartley, Profit Sharing, non-profits, foundations, endowments. And matters not limited to include regulatory agency, legal malpractice, family law and divorce matters.

Mr McConnell is also an expert on the causes of the 2008 global financial crisis, and support to certain financial institutions dating to 1979.

He holds a BA degree in Economics from Rutgers University, an MBA from Pepperdine University, AIFA® from the Center for Fiduciary Studies and has extensive accounting experience including successfully passing the Uniform Certified Public Accountant examination.

Website www.fiduciaryexpert.com

Email info@fiduciaryexpert.com

Office (310) 943 – 6509

**Subject to availability, brief initial consultations are complimentary**

Background

Q: Please list your professional accreditations, degrees, licenses, and certificates granted:
A: ACCREDITED INVESTMENT FIDUCIARY ANALYST, Center for Fiduciary Studies
MBA, Pepperdine University
BA, Economics / Accounting, Rutgers University
CPA Exam - Passed, State of New York Board of Accountancy

Q: Please list any teaching or speaking experience you have had, including subject matter:
A: Mr. McConnell has delivered lectures qualifying for continuing professional and legal education to attorneys, CPAs and schools since 2003.

Q: Have any of your accreditations ever been investigated, suspended or removed? (if yes, explain)
A: No

Q: On how many occasions have you been retained as an expert?
A: Mr. McConnell has been retained over 100 times as either a testifying and or consulting expert.

Q: For what area(s) of expertise have you been retained as an expert?
A: Not limited to - ERISA Pension,Profit Sharing,Taft-Hartley Union Pensions, 401k plans, IRAs

Family Law, Divorce, QDROs, Community property, Compensation, Valuation
Trust & Estate, Probate, Surrogate / Elder Abuse

FINRA Securities Arbitration - 401k IRA Rollovers, Trusts, Charities

Legal Malpractice, Bankruptcy, Federal Agency, Investment adviser
Employment, Compensation - Financial Services / Securities industry

Q: In what percentage of your cases were you retained by the plaintiff?
A: 70%

Q: In what percentage of your cases were you retained by the defendant?
A: 30%

Q: On how many occasions have you had your deposition taken?
A: 6

Q: When was the last time you had your deposition taken?
A: 2009

Q: On how many occasions have you been qualified by a court to give expert testimony?
A: 20

Q: On how many occasions have you testified as an expert in court or before an arbitrator?
A: 10 (an overwhelming majority of cases settle.)

Q: For how many years have you worked with the legal industry as an expert?
A: since 2004

Q: What services do you offer? (E.g.: consulting, testing, reports, site inspections etc.)
A: At any time, any account, investment or asset may become subject to an investment fiduciary duty * IN ADDITION TO* suitability and compliance supervision. Charities, women, elderly, seniors, disabled and minors are more vulnerable to investment scams and misrepresentations.

Fiduciary performance audits address the parties, duties, and gaps if any

Divorce Fiduciary Audit(tm), Duffy Analysis, QDRAb4QDRO(tm), FiduciaryFORENSICS(tm), Litigation, arbitration & mediation Consulting, Statement of claim, Suitability analysis, Post-Settlement Fiduciary Audits, Supervision, Financial Services, Securities industry employment disputes, Stock Broker, Investment adviser and branch manager compensation.

Discovery Support - initial pleadings and ongoing review and analysis

Q: What is your hourly rate to consult with an attorney?
A: ** Brief initial consultations are available as time permits **
A calendar and conflict check is required.
Thereafter a working budget is provided to you before any billable work begins, upon your approval and payment services may be scheduled.

Q: What is your hourly rate to review documents?
A: ** Subject to a calendar and conflict check.
A working budget is provided to you before any billable work begins, upon your approval and payment; services may be scheduled.

Q: What is your hourly rate to provide deposition testimony?
A: Rates, fees and/or availability are provided upon completion of a calendar and conflict check.

Q: What is your hourly rate to provide testimony at trial?
A: Rates, fees and/or availability are provided upon completion of a calendar and conflict check.

Q: Please list any fees other than those stated above (E.g.: travel expenses, copy fees, etc.)
A: An estimated working budget is provided to you before any billable work begins, upon your review, approval, return of signed engagement agreement,designation moving papers and payment; services may be scheduled.

References

References provided upon request.

Publications