Steve Garrett has been called upon to act as an expert witness in FINRA (NASD) arbitrations,  State and Federal courts. Steve Garrett primarily represents the public claimants in disputes with industry (FINRA Members) for two simple reasons.

  1. The industry has a wealth of experts who are employed by member firms and can provide excellent opinions to represent the interest of the member firms while the public has limited options for equal expertise and assistance.
  2. The second part of the matter is that there are occasional failures of practices or individuals that need to be corrected or eliminated to the ultimate benefit of the member firms, financial service industry and the public at large.

The primary topic of expert opinion is supervision of those who offer financial products to the public. Failure to Supervise is a central issue in a significant number of these disputes and claims.

Steve established Steve Garrett and Associates, Inc. a Registered Investment Advisor and Branch office affiliated with LPL Financial (member FINRA/SIPC) in 1990 which invests and manages money for individuals and small corporate retirement plans.