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jwestconsulting.com

West Consulting

Expert Analysis and Testimony. John West retired in 2009 as a branch office manager with 35 years of securities industry experience. John West is not an attorney and does not provide legal advice. Fees paid to West Consulting, LLC are for opinions based upon his securities industry experience and knowledge of customary practices and procedures. Please consult an attorney before making a final decision about your specific situation.

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West Consulting | jwestconsulting.com Reviews
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Expert Analysis and Testimony. John West retired in 2009 as a branch office manager with 35 years of securities industry experience. John West is not an attorney and does not provide legal advice. Fees paid to West Consulting, LLC are for opinions based upon his securities industry experience and knowledge of customary practices and procedures. Please consult an attorney before making a final decision about your specific situation.
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West Consulting | jwestconsulting.com Reviews

https://jwestconsulting.com

Expert Analysis and Testimony. John West retired in 2009 as a branch office manager with 35 years of securities industry experience. John West is not an attorney and does not provide legal advice. Fees paid to West Consulting, LLC are for opinions based upon his securities industry experience and knowledge of customary practices and procedures. Please consult an attorney before making a final decision about your specific situation.

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jwestconsulting.com jwestconsulting.com
1

Qualifications West Consulting

http://www.jwestconsulting.com/pages/qualifications.html

15 years NASD (FINRA) Arbitrator, including Chair qualification and experience. 28 years as a branch office supervisor overseeing the activities of up to 91 advisors in offices in three states. Engaged as Expert on over 200 matters since 2009 by FINRA panels and state courts. Accepted as Expert and testified in 35 cases. Served on the NASD District Business Conduct Committee, District 5. Direct experience with current industry issues.

2

Expertise West Consulting

http://www.jwestconsulting.com/pages/expertise.html

U-4, U-5 Issues. Registered Investor Advisor Issues. Stocks, Bonds, and Options. Mutual Funds, UIT, ETF. CMO, ABS, CDO, ARS, MBS.

3

Services West Consulting

http://www.jwestconsulting.com/pages/services.html

References, fee schedule, and sample engagement letter. Account Reviews and Analysis. Case Reviews and Evaluation.

4

Curriculum Vitae John West

http://www.jwestconsulting.com/pages/curriculumvitae.html

MEMBERSHIPS AND SECURITIES INDUSTRY ACTIVITIES. 1973 Memphis State University. Masters Level classes in Economics- no degree. 1972 University of Tampa. FINRA Arbitrator, including experience as panel chairperson. NASD District Business Conduct Committee. Securities Industry and Financial Markets Association (SIFMA). Past President, Memphis Securities Dealers Association. Past President, Memphis Grain and Hay (Memphis Board of Trade Affiliate). 1998 - 2009 Wachovia Securities. Supervision, compliance and ...

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Expert Analysis and Testimony. John West retired in 2009 as a branch office manager with 35 years of securities industry experience. John West is not an attorney and does not provide legal advice. Fees paid to West Consulting, LLC are for opinions based upon his securities industry experience and knowledge of customary practices and procedures. Please consult an attorney before making a final decision about your specific situation.

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