Founder Greg Wood, an articulate and objective securities expert, combines 35 years as a securities industry professional with the experience from the litigation support services business he opened in 2004 to help clients in arbitration or court.
Greg Wood
In 1969, Greg Wood started in the securities business. He completed a six-month training program in the securities industry, which launched a 35 yearlong career in investments. Over the years, he systematically moved through the ranks of the financial services industry. His securities industry career breaks down as follows:
- Seventeen Years — Branch Manager or Manager of other Branch Managers
- Thirteen Years — Retail Stock and Commodities Broker
- Five Years — Training and Administrative Jobs
Securities Licenses Previously Held
Greg Wood has passed the following examinations or their equivalents and has held the following licenses or their equivalents:
- Series 3 National Commodities Futures (1969)
- Series 4 Registered Options Principal (1983)
- Series 5 Interest Rate Options Examination (1983)
- Series 7 General Securities Representative (1969 – S1 & S12)
- Series 8 General Securities Sales Supervisor (S40, S5 & S15)
- Series 15 Foreign Currency Options Examination (1987)
- Series 40 General Securities Principal (1976 – Qualifies as S24)
- Series 63 Uniform Securities Agent State Law Examination (1981)
- Series 65 Uniform Investment Advisor Examination (1993)
- State Life and Health Insurance Examination
FINRA Arbitrator and Mediator
In 2002, Greg made the decision to eventually leave corporate life and established a securities litigation support services business. He began the process by becoming a FINRA (NASD and NYSE) arbitrator and a trained panel chairperson. He was also trained by the ADR section of the Utah State Bar Association and became a Utah Court Recognized Mediator. Soon after, he became a FINRA Mediator (2006-2013).
Securities Litigation Support, LLC
In March 2004, Greg resigned from his banking position, where he was a senior vice president supervising registered representatives across a state, and founded Securities Litigation Support, LLC. Greg’s experience since 2004 is as follows:
- Over 158 Attorneys Located Nationally Have Retained Greg Wood
- Greg Has Been Retained in More Than 317 Matters
- Greg Has Qualified and Testified in FINRA Arbitration, Jams Arbitration, State Court or Federal Court Over 63 Times
The Role of an Expert Witness
According to the Federal Rules of Evidence, a qualified expert witness is someone who has knowledge, skill, education, experience, or training in a specialized field. In Securities litigation, experts explain the complex set of regulations and the customs and practices of this industry to the trier of fact.
Recent rule changes in FINRA Arbitration have made “all public” panels a common occurrence. By eliminating the requirement for each panel to include an industry arbitrator the finder of fact depends upon his/her personal knowledge and experience in securities along with the information from the parties to make a decision. An expert will clarify the facts of the case as they relate to securities rules, industry custom and practice and the standard of care.
Unique and Unbiased Perspective
SLS works with Attorneys representing both the Plaintiff/Claimant and Defendant/Respondent. This broad business base combined with Greg’s experience as a FINRA Arbitrator gives him a unique and unbiased perspective. When he analyzes case facts, discovery, writes reports and develops expert opinions he considers the matter from the viewpoint of a plaintiff’s expert, a defendant’s expert and an arbitrator.
Securities Litigation Support, LLC Services
- Pre-Filing initial case evaluation
- Whether the case should be considered or rejected
- If taken should it be hourly, contingency or a hybrid
- Pre-hearing expert services may include any or all of these:
- Pleading review and evaluation
- Document reviews
- Discovery recommendations
- Discovery review and evaluation
- Client interviews to identify additional case issues
- Forensic accounting assistance and evaluation
- The use of formulas to calculate turnover, churning, etc.
- An identifier of additional matter issues
- Expert reports
- Rebuttal reports
- Demonstrative exhibit creation
- Damage calculations
- 20 day exchange evaluation and rebuttal
- Mediation assistance
- Forensic accounting
- Hearing expert services may include the following:
- Opposing side testimony
- Opposing side exhibit testimony review
- Specialty reports
- Registered Representative business analysis
- Concentration analysis
- 72(t) reports analysis
- Contemporaneous portfolio reports
- Contemporaneous annuity subaccount evaluation
- Custom demonstrative exhibits
- Testimony
- Personal testimony
- Video conference testimony
- Telephone testimony
Contact Greg Wood today to discuss your securities litigation support needs.