Tilkin Group LLC
Securities Expert Witness
Securities Industry Expert Witness
SECURITIES INDUSTRY ARBITRATION - LITIGATION EXPERT WITNESS
30 YEARS PRACTICAL - LINE - SENIOR MANAGING DIRECTOR BROKER DEALER EXPERIENCE
ADVISOR, ASST. BRANCH MANAGER, BRANCH MANAGER, REGIONAL DIRECTOR, SENIOR MANAGING DIRECTOR
TESTIMONY AT FINRA, SEC, JAMS, AAA AND VARIED JUDICIAL VENUES
TESTIMONIAL QUALIFICATIONS:
Suitability, Supervision, Asset Allocation, Financial Fraud, Clearing Firms, RIAs, Fiduciary Responsibility, Employment, Raiding and Protocol, Supervision Systems and Technology, Administration, Margin, Over-Concentration, Churning, Investment Strategy, Insurance Product, REITs, ETFs, Muncipal Fixed Income, Taxable Fixed Income, Partnerships, UITs, Mutual Funds, Fixed Income, Equity, Capital Markets, Portfolio Management, Compliance Oversight and Practicies, Supervisory Control and Practices, Surveillance Methodology and Practices, Custody Relationships and Practice, Suspicious Activity and Red Flags, Risk Management Process and Procedures, and Damages.
Why David Tilkin as your expert?
Extensive background, experience, testimony acumen, strategy and case support.
A pro-active team player with exceptional testimony background and skill. Thirty plus years of securities industry leadership in a wide range of capacities including; Managing Director, Regional Director, Branch Manager, Assistant Branch Manager and Registered Representative. Since 2008 retained in over 170 cases, with 75 opportunities for testimony. Testimony venues have included; FINRA, JAMS, AAA, Judicial proceedings and the Securities and Exchange Commission.
The TilkinGroup™ provides arbitration consulting, expert witness, litigation support, case strategy, case forensics and hearing testimony to private practice attorneys litigating securities-related claims as well as in-house and private counsel protecting their clients against litigation.
Founder David Tilkin supervised hundreds of brokers and scores of branch managers during his tenures at Smith Barney and Wheat First which became First Union Securities. As a member of both the Operating and Compliance committees at First Union Securities, he participated in firm-wide policy and procedure discussions on issues ranging from litigation matters to product due diligence. He previously held the Series 63, 65, 7, 8, 4 and insurance licenses.
Leadership responsibilities included management, supervision, litigation management, recruiting, training, sales leadership, administration and compliance.
David was also the founder and CEO of Protegent, the first company to deliver automated exception reporting, auditing and sales practice review technology to the financial services industry through software known as BrokerAudit. Protegent was sold to SunGard, Inc. in 2005.
Since founding the TilkinGroup™, David has provided testimony over 70 times in the following venues: FINRA, AAA, JAMS, numerous judicial venues, and the Securities and Exchange Commission. Clients have included private practice attorneys, in-house counsel, state securities regulators and the U.S. Attorney’s Office. The TilkinGroup™ has been providing full-time expert witness services since 2008.
David Tilkin
President
Kate and Harrison
London 2015
Kate works in financial services in Boston and Harrison, a graduate of Miami University, Oxford, Ohio, is a supply chain and procurement analyst in the Boston area.
TILKIN GROUP 2020
