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Expert Witness Services ​

Credibility
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Reliability
Objectivity

Providing Clear, Factual, Expert Witness Services:

  • Consultation
  • Assessment
  • Report Creation
  • Deposition
  • Testimony (virtual and in-person)

Areas of Expertise

  • FINRA Programs
  • FINRA Risk Hierarchy
  • FINRA Sales Practice Issues
  • FINRA and SEC Rules
  • Assessment of Internal Controls
  • Broker-Dealer Compliance and Supervision
  • Regulation Best Interest (Reg BI)
  • FINRA Rule 3110
  • Broker-Dealer Regulatory Issues
  • Risk Monitoring and Mitigation
Trust handwritten word with a magnifying glass on blue wooden background. Copy space. Top view. The concept of faith, belief, and confidence.

Colleen is a Director and Voting Member of the Securities Experts Roundtable (SER) and an Arbitrator.

https://www.securitiesexpert.org/member_profile.php?member_id=185

Check out Colleen’s listing on the SEAK Expert Witness Directory

https://www.seakexperts.com/members/17698-colleen-diles

CURRICULUM VITAE