Specializing in Cases Against Independent Broker/Dealers

Legal Support Services

End-to-end support for securities arbitrations, mediations
and other types of litigation

Experience

  • Sander J. Ressler has been engaged as an expert witness in more than 140 arbitrations, having testified in 40+ hearings and participated in more than 20 meditations throughout the United States.
  • Sander has collaborated with more than 20 Public Investors Arbitration Bar Association (PIABA) members.

Expertise

  • Case Evaluations
  • Expert Witness (including but not limited to):
  • Churning

  • Damage Calculations

  • Due Diligence

  • Failure to Execute Trades

  • Identity Theft

  • Misrepresentation and Omissions

  • Overconcentration

  • Supervision

  • Suitability

  • Initiate a Mediation – The parties may file a request to mediate to begin the process, or, if the matter is already in arbitration with FINRA, they may contact their arbitration administrator for a referral to mediation. Once the parties begin the mediation process, they learn how to select a mediator. Sander has worked with mediators throughout the country, which give him insight so he can advise Claimants and their counsel on choosing the best mediator to fit the facts and personalities involved in the matter.
  • Mediation Sessions – Sander has worked with Claimants, their counsel and the mediator to clearly communicate the issues at the heart of the dispute and demonstrate expertise and preparedness for consideration by Respondents.
  • Settlement – A settlement occurs if the parties resolve their dispute. Sander has collaborated with Claimants, their counsel and the mediator to determine the fair value of the case and assist in settlement negotiations as needed.
  • Impasse – If the parties do not settle their dispute, Sander stands ready to assist the Claimants and their counsel with all phases of discovery, arbitration preparation and, ultimately, the hearing.
  • Statement of Claim – Sander has assisted Claimants and their counsel in defining and identifying the compliance and supervisory issues to be included in statements of claim.
  • Discovery – Using extensive current knowledge of compliance, supervision and operations, Sander can assist in identifying pertinent documents for discovery.
  • Damages – Sander has consulted on how to calculate damages and the most appropriate methodology for the case.
  • Client Management and Preparation – Sander has helped educate clients on what to expect during arbitration and recommend techniques for giving effective testimony.
  • Expert Witness Testimony – Sander has testified on liability and damages for compliance, supervisory, AML and other issues relating to broker/dealers, registered investment advisors and other financial institutions.
  • Preparation for Witness Testimony – Sander has assisted counsel with preparing questions for Claimants’ and Respondents’ witnesses.

About the Expert

Sander J. Ressler is a Securities and Insurance Expert Witness and Litigation Support Consultant for FINRA arbitrations, mediations, civil, state and federal court proceedings. He has been engaged by more than 30 law firms as an expert witness in more than 140 arbitrations and more than 20 mediations throughout the U.S.

Sander’s active national consulting practice for broker/dealers is his signature comparative advantage: his knowledge of the industry is not only deep, but up-to-date. This experience distinguishes Sander from other expert witnesses, many of whom haven’t performed compliance or supervisory functions in years – even decades.

Throughout his 25-year career, Sander has been deeply involved in the compliance and supervision areas of financial services firms. As an independent consultant since 2011, Sander has been helping broker/dealers revise their policies, procedures and processes to strengthen their compliance programs. As an integral part of his practice, he has conducted more than 500 branch office examinations, reviewed more than 250,000 emails, and scrutinized in excess of 1,000 pieces of advertising.

Sander’s low overhead allows him to pass cost savings along to clients.

More About Sander

Sander J. Ressler began his career as a regulator with State of Florida focusing on investigating and examining brokerage firms and their registered representatives. He went on to serve in a variety of compliance and supervisory roles within several broker/dealers, including:

  • Chief Compliance Officer and AML Officer of the broker/dealers of American General Life Insurance Companies;
  • Chief Compliance and AML Officer for Multi-Financial Securities, Inc., an ING owned broker/dealer and registered investment advisor;
  • Senior Manager for Deloitte in their Broker/Dealer Consulting Group;
  • A senior compliance role at Newedge, a Credit Suisse firm specializing in global clearing and execution of securities transactions.

During his career, Sander passed the Series 3, 4, 7, 8, 9, 14, 24, 53, 63 and 65 exams administered by FINRA. He occasionally remains registered as a Series 7 and 24, depending on the nature of his current outsourcing engagements.​ To download Sander’s resume, click here.

References are available upon request.