About – Fiduciary Expert

Chris McConnell & Associates since 2003, provides to plaintiff, defense counsel and regulators independent, no-conflict expert witness and consulting services around an increasingly broad spectrum of entities, individuals and or beneficiaries involving fiduciary responsibility arising in any context not limited to: corporate governance (in public or private entities) or in the securities, commodities, futures, banking, insurance, real estate, crypto industry, digital and traditional economy including intellectual property. Mr. McConnell provides both liability assessments and calculates potential damages from compliance failures extending to recruitment, employment, compensation and or termination issues.

The forensic expert with the ability to communicate:

His skills and ability to summarize and articulate exceedingly detailed, myriad, complex concepts across multiple parties, legal and or beneficial owners, assets, claims, rights, interests and accounts (domestic and or off-shore), institutions and time periods often over several decades into plain English and understandable terms in a chronological time series with demonstrative evidence are reasonable, objective, fact-based, not cherry-picked, authoritative and have proven indispensable and helpful over and over. In nearly 100% of his cases, he has surfaced new documents and insights that have proven to be “smoking guns”.

FiduciaryFORENSICS™a proprietary evaluation and analysis:

Mr. McConnell may (upon your request, pursuant to a limited one-time-only use license) deploy his FiduciaryFORENSICS™ a proprietary means and methods of transaction and sub-transactional tracing supporting additional discovery, investigation, evaluation and analysis, damage, surcharge and valuation models and creative, compelling evidence-based visuals and demonstratives showing timelines, contrasting transactions, parties, information asymmetries, documents, other individuals, entities and disclosures via charts, graphs and tables which prove helpful bringing about favorable settlements.

Thus, the earlier we are engaged is often better for the client and in certain cases, overlooked asset protection, mitigation measures, third-party responsibility and or ATRO violations. Due to his skill in establishing liability, fiduciary responsibility, control and or fraudulent behavior at earlier dates, his opinions, reports, depositions and evidence countering ratification, statute of limitations and other defenses may prove helpful.

He has provided plaintiff, defense counsel and regulators reliable, incisive and authoritative expert witness services including reports, opinions, deposition, testimony and rebuttal opinions in numerous high-profile cases involving professional athletes, creative artists and celebrities including several Oscar winners and on behalf of many high net worth company founders, business owners and their families (and second families), estates, heirs and third party legatees such as non-profit organizations involving many of the largest investment, financial, bank and trust institutions, life insurance and annuity providers in the world and in the Bernie Madoff matter, the largest Ponzi scheme in history.

Brief background summary:

Chris McConnell, AIFA® is among the earliest holders of the ACCREDITED INVESTMENT FIDUCIARY AUDITOR™ credential in 2003. Since 1983 he was employed for 19 years in the securities industry at two major Wall St broker dealers (transferred across the country three times) holding several national, regional and prominent branch management positions (sales, financial, executive and financial advisory), These broker dealers’ holding companies included their integrated affiliates: life and disability insurance, long-term care and annuity, investment advisory, bank and trust company.

He holds a BA degree in Economics / Accounting, an MBA degree and successfully passed the NY State Accountancy CPA examination. He held several securities, commodities, options principal, investment advisor, blue sky and supervisor licenses while in the securities industry including the Series 3, 4, 7, 9/10, 65, 66 and the California life insurance, annuity and long-term care licenses.

His research on banking, securities, credit, payments and the financial system began in the late 1970’s which foretold the indispensable core root violations enabling the 2008 Global Financial Crisis (GFC). He has explained the resulting leverage, the root (ignored by regulatory systems) of the GFC in a simple four box diagram to many industry participants and legal experts.

His knowledge of regulatory, policy, economic, financial and legislative intent history combined with his personal hands-on professional experience with industry regulators, agencies, policy makers, board-level strategy, managements’ responses to competitive, market threats and marketing thereof extend to customers’ (including retail, off-shore, ERISA and other pension and retirement plans, HNW, institutional and prime broker) account performance measurement and compliance advised and or managed by banks, broker dealers, financial advisors, investment advisors, trust companies, life insurance and annuity providers, hedge, private equity and other types of funds and many others connected to the financial services, real estate industry including consulting firms, attorneys, CPA’s, business managers and fiduciary duty and applicable rules, regulations and or standards of care across decades.

He was appointed to lead the design team for the first principal-protected mutual fund in the mid 1980’s. Was appointed three times to lead regional initiatives for diversity and inclusion recruitment, training and development and back-office optimization in the 1990’s and early 2000’s. And was lead designer, author and or manager for several multi-billion-dollar projects including with firm-wide and public customer impacts including: national branch, regional accounting policies; national customer margin loans and preferred margin loan program; short credit rebates, securities lending and short accounts. He designed the customer and household level cash sweep accounts into money market mutual funds with checking, priority sweep of deposits, Excess SIPC account insurance coverage levels, card, rewards and other features; national branch, regional and international office real estate strategy; financial advisor (FA), branch manager and national, regional and branch product manager compensation plan inclusive of cash, deferred, stock, option components, recognition and awards club levels, titles and FA business development expense arrangements; forgivable loans and FA retirement / sunset plans; FA state registrations and the firm-wide public customer fees and commissions revenue schedule and budgeting, reporting and control thereof. He also guided the creation of customers account supervision and surveillance systems reviews in conjunction with the firm’s IT staff. Mr McConnell was called upon to make presentations on these and numerous other topics to all levels of management, the sales force and support staff on hundreds of occasions. All of these projects involved extensive planning and in-depth, detailed competitive securities, banking and financial services industry-wide analysis.

Throughout his securities industry career he was appointed as the business-side expert leading the firm’s IT department in conjunction with tier one third party consultants such as McKinsey, Price Waterhouse, IBM and McLagan Partners to bring new products, information and tools to management, product managers, the branch sales force of 8,500 FA’s and support staff while automating and streamlining the burden and costs on branch, regional and headquarters back-offices.

IT and Customer Privacy, Confidentiality, Data Security & Encryption:

Mr McConnell’s extensive experience, knowledge and keen understanding (dating back to the 1980’s) of the distinctions, limitations and confusion inherent in asynchronous communications and systems such as: user and or document authentication, electronic communications including facsimile, IT infrastructure and systems, co-location, alternative trading platforms, high frequency, algorithmic, program and proprietary trading, the public internet and intranets, key stroke logging, user eyeball tracking, user navigation, UX, private chat rooms and messaging platforms, third party managed service providers, attack surfaces, threat mitigation, hacking, data intrusions and data breach, privacy, encryption, quantum computing, quantum-proof encryption (PCQ), AI, ML and associated metadata along with internal and customer communications, and the often overlooked off-line communications, medallion signature guarantee stamps, vaults, safe deposit boxes, books and records, retention and supervision thereof is then able to creatively time series these and other elements to support conflicts of interest, self-dealing, breach of fiduciary duty, confidentiality of customer data and other violations.

Conflicts of Interest Expert

Conflicts of interest including principal agent conflicts of interest while largely wholly unavoidable can and do infect relationships at any time and require careful, prudent management to prevent infection and potential harms, for the benefit of all parties. With actual hands-on experience since 1983, including multi-thousands of financial advisors across millions of customer accounts Mr McConnell’s prophylactic consulting assessments expose, address, monitor, manage and disclose existing and potential conflicts of interest for banks, broker-dealers, investment companies, investment advisors, private equity sponsors, insurance companies as providers of financial, investment and related advice and products and services and referrals (creating greater potential conflicts of interest) to internal and external third parties in compliance with exchange, ECN, dark pool, margin, legal, regulatory, state and national securities and insurance rules and regulations, internal national, regional, branch and financial advisor supervisory, compliance policies, procedures and manuals, terms of service (TOS), customer agreements and updates thereto.

Case evaluations of claims or potential actions for investors, trustees, receivers and beneficiaries may surface current as well as historical conflicts of interest, disclosures, compliance, management, monitoring, supervision and or violations thereof in any relationship such as but not limited to: trusts, family limited partnerships, closely-held businesses and companies, family businesses, marital or extra-marital, partnership, corporate, LLC, LLP, advisory, agent, boards of trustees, investment committees, ERISA plan sponsors, Taft-Hartley union pension plans, multi-employer pension plans, HOA’s, investment clubs, investment partnerships including in fiduciary or non-fiduciary contexts.

We investigate and analyze all types of not limited to: assets, claims, rights, interests, liabilities in any type of account, legal or extra-legal entity (or form including hidden vaults, safe deposit boxes or otherwise), Ponzi schemes and scams, domestic or off-shore whether contractual or extra-contractual including: intellectual property, crypto assets and digital tokens in any type of account: such as trusts, IRA’s, and any other type of account. We investigate claims involving: elder (and disabled) financial abuse & exploitation, bankruptcy including in the zone of bankruptcy, divorce, closely-held family businesses, non-profit organization, legal or professional malpractice and or unfair business practices among an exceedingly broad variety of other, including potential class action matters.

Typical topics of investigation include not limited to: fraud, theft, forgery or embezzlement, electronic documents, trustee breach of fiduciary responsibility or duty, self-dealing, lack of impartiality, third party breach of fiduciary duty,compliance with or deviation from: due diligence, care, skill, investment firm capabilities, firm recommendations, policy exceptions and overrides of supervisory and other controls, organizational structure, internal audit, internal compliance audits, personnel, training, IT systems, screens, reports, compensation, incentives and emoluments, sales practice, customer account surveillance and reviews, customer account supervisory contact, all types of customer accounts including cash sweep, insured bank deposit, margin, options, checking, online bill pay and card-linked accounts and agreements and online access, trust terms, trustee certifications, successor trustees, diminished capacity or incapacity, customer emergency contacts, intergenerational family and legacy planning services, pension and retirement plan documents, standard of care, custom and practice, privacy, fiduciary duty, AML/BSA/USA Patriot Act, SAR’s, FinCen, Reg. BI, Reg FD, Reg SP, identity theft, unauthorized online account access, employee misconduct, reporting, corporate governance including for eleemosynary organizations, UPIA, ERISA, FINRA, IAA, SEC and other applicable rules and regulations and or other statutory authority, internal policies and procedures and updates thereto, KYC, CIP, CDD, diversification, unsuitability, communications with customers, failure to supervise, misrepresentation, omissions, and recruiting, employment, training and continuing education, selling away and outside business activities. We also investigate and or consult on other types of pension plans such as public employees, multi-employer and Taft-Hartley union pension plans.

Typical services include: investigation, analysis, liability, valuation, damages reports on: investment losses or sub-par performance; opportunity costs, breakeven, account fees, costs, expenses and risk audits, deviations from account agreements or overcharging of fees, fiduciary audits, forensic tracing, investment due diligence, investment policy statements, best execution, proxy voting, trade executions & risk analysis, trading system restrictions and freezes, error accounts, deviations from customer investment objectives or firm-recommended asset allocations, ignorance of implicit and explicit risks, leverage and or conflicts of interest, break-even analysis including risk and opportunity costs, trades mis-marked as unsolicited, changes to customer profiles, failure to keep and or maintain current notes on customer accounts, failure to contact, communicate or follow up with customers, failures to delegate tasks and or monitor team or group members, improper time horizons, unauthorized trades, outside business activities, investigations of U-4, U-5 and CRD and other filings, insurance, annuity, teams or groups of FA’s, power imbalances, harassment, information asymmetry, disclosure issues whether in pre-claim, litigation, arbitration and or mediation.

Mr. McConnell is known for his “bombshell” opinions, reports and visual aids bringing opposing parties to the table resulting in faster, favorable settlements. Over more than twenty years, he has a nearly 100% success rate in cases including against the largest law firms in the country.

How we are retained: Subject to a calendar and conflict check we are retained only in writing as either a consulting and or testifying expert witness, assisting plaintiff or defense counsel to investigate, evaluate, identify or confirm case strengths, weaknesses, parties, potential counter claims, causes of action, additional causes of action or defenses, demand for accounting, constructive trust, support for treble or punitive damages, settlement, dismissal, recovery, standard of care, custom and practice, liability or exposure, valuation and damages reports, demonstrative evidence, written opinions, declarations, rebuttal expert reports, models and testimony, remote hearing or deposition attendance, deposition review, discovery assistance such as: deposition scripts, brief and pleading review and document production requests.

His extensive history of over thousands of cases over forty years including while he was employed in the securities industry often enables him to provide counsel the actual and specific names and types of internal documents and or issue declarations in support thereof overcoming vague and burdensome objections. Outside of or related to litigation we provide training, analysis and assurance of fiduciary performance.

E-commerce, online ordering and SMB expertise:

Mr McConnell has over 15 years of experience including to over 250 small, medium and larger enterprises (local, regional and national chains – SMB’s) as expert in but not limited to: e-commerce, online ordering including hardware, software, SEO, SEM, sponsored ads, YELP and other business sites’ listings, reviews and DMCA, websites, mobile apps (IoS and Android), customer accounts and agreements to terms and services, merchant on-boarding by online ordering delivery platforms, merchants accounts terms and services, merchant online dashboards, merchant tablets, menu pricing, commissions, fees, calculation of, collection, reporting and remittance of sales taxes, delivery fees and applicable sales tax, delivery driver tips and compensation, server and staff tips, chargebacks and compensation, food safety, worker food safety certifications, ads, recruitment, hiring, employment, separation, vacation, leaves and termination, NDA’s, employee manuals, business policies and procedures, payroll, multi-menu display listings, menu and price updates, store hours, merchant / store contact data, merchant / manager / employee / independent contractor issues, wage and hours, paycheck, payroll taxes withholding and payment, customer lists, data and marketing, advertising and promotion, Groupon and other coupon promotions, customer orders and confirmation, card payments processing and fees, card chargebacks, customer refunds, merchant order credits and refunds, cost of food, food costs, food and beverage sourcing and supply chains, menu pricing assistance including for diet based menus such as: vegan, Halal, Kosher, gluten-free and vegetarian menus, delivery, tracing, reconciliation and audits of every facet of the food sourcing, prep, customer, merchant experience or UX and social, digital and traditional media marketing, advertising and promotion for SMB’s.

Mr McConnell’s has extensive experience in the food, beverage and hospitality industry from the 1970’s and early 1980’s when he managed the entire food, beverage and hospitality service of his college fraternal organization where he was solely responsible for providing services to over 500 members and guests weekly including staff training and supervision, catering, planning, budgeting, financial management, reporting, compliance, food safety and negotiating with third party vendors and suppliers.

Mr McConnell handles merchant website, apps, domain ownership and control, social media and other online accounts, text messaging and traditional media marketing, coupons, Groupons and other online and off-line coupon vendors, gift cards, YELP and other business listing websites and mobile apps disputes including integrity of reviews, online ordering (OLO) platform audits, order credit reconciliations including: commissions, fees, display listing ads and terms of service disputes between merchants and platforms. Violations of the CCPA and other applicable online rules and regulations.

He also provides litigation support in: lawsuits and disputes involving merchant and service providers, vendors, suppliers, employees or independent contractors, disputes between merchants and city, county, state and federal agencies, trusts, partners, investors or partners such as private equity funds, limited partners, LLC’s, and or other shareholders including family and or second or inter-family members for claims involving valuation, books and records, sales, transfers, dispositions of or changes of control of the business entity, legal entity formation and corporate governance, bank and other accounts, business licenses, music licensing, bankruptcy, receivers, financings, sales revenue and cash sales, cost of food, menu pricing disparities, ADA claims, landlord lease rent and rental increase disputes, payroll, card processing fees and chargebacks, employee fraud, theft and embezzlement, compensation, recruiting, employment and training, accounting, breach of contract, breach of fiduciary duty, unfair business practices as well as sales tax audits and investigations involving state agencies not limited to the California Department Tax and Fee Administration (CDTFA), formerly, the California Board of Equalization (CA BOE).

NCAA Division 1 Men’s Soccer expertise:

Since 1995 Mr McConnell has scouted over 3,000 matches of NCAA Men’s Division 1 soccer in person and or online nationwide. His unique process is proven, borrowed from his Wall St career, he unlike most scouts, “does not talk to management” (meaning coaches and staff: there are too many conflicts of interests, agendas, pressure from parents, politics and or quid pro quos). Rather he lets the game, context, mitigating factors, support and performance including player / coach / ref / opponent chit chat surface the true and therefore reliable marks of player performance, development and progress sometimes over a four-year career which is position specific. He has a proven uncanny ability to spot talent immediately on the first touch and or use of space or waste thereof, capitalizing on or waste of opportunities, in challenges and duels or for goalkeepers their control of the box, clearances, saves and shot stopping and potential position conversions where indicated.

Mr McConnell’s most distinctive and valuable insights are however, in the opposite direction, the ability to point out highly touted players whose collegiate success is close to or at their ceiling and or whose statistics are based on an extensive and detailed list of non-recurring and or non-repeatable advantages not limited to: program, facilities, coaching, academic, economic and scholarship advantages plus other non-transferable factors.

Click here to request a consultation on these and other factors. A fee for the list is required, creditable to future scouting and or assessment engagements. The list available under a one-time-only use license from CMA Soccer Scouting includes over 20 factors.

Mr. McConnell’s insights have proven to: 1) save clubs or academies significant six to seven figures sums, 2) not including the lost opportunity costs that a roster spot was taken up by an unqualified player, 3) reduce the potential blemish on front office staffs’ careers and reputations and 4) the diminution of the club’s or academy’s reputation, stature, brand image and enterprise value.

He has issued reports to regulatory bodies, coaches and programs involving officiating and or the failure by coaches to sub off players who need counseling for unsportsmanlike and or aggressive play or taunting on numerous occasions.

Mr. McConnell is an avid soccer player for over 50 years and still plays weekly including former professional players from Europe. He served as volunteer coach in AYSO region 69 Brentwood/Pacific Palisades for ten years where his teams won championships. His high school team was state champions three out of four years and were consistently ranked in the top ten in NJ. He received All-Shore recognition and played midfield alongside and gained invaluable insights from an All-American athlete (who also later became an NCAA D1 All-American). He was recruited to a top D1 program but was injured. Mr. McConnell is still known for his extra long throw-ins.

Areas of Expert or Consulting Assistance not limited to include:

Corporate Governance, Board of Directors, Board of Trustees, ERISA Plan Sponsors and Investment committees
Bankruptcy, Receivers
Divorce, Marital Settlement Agreements, QDRO’s; Divorce Fiduciary Audit™
ERISA, Taft Hartley, Public Employees’ Pension, Profit Sharing & 401k & 403b plans
FINRA, Securities Arbitrations and other forums such as AAA, JAMS
Non-Profits, Foundations & Endowments (aka Tax-exempt, Eleemosynary organizations)
Trust & Estate, Probate, Surrogate
IRA’s, Conservator, Guardian, Custodial, 529 & HOA accounts
MBS Securitizations, Foreclosure, Chain of Title, Real Estate Fiduciary Audit™
Regulatory Agency Investigations – Federal, State, County and City
Securities industry including RIA’s, IAR’s, Hedge funds, Private Equity
Compensation, Employment, Valuation, Forgivable Loans, Retired FA “Sunset” plans, Retention Awards, Recruiting, Licensing, Registration, Training, Continuing Education, Titles, Promotions, Termination, Distribution of accounts, Groups and Teams of FA’s, Split accounts and production numbers, Medallion signature stamps
Legal and professional malpractice
Financial Elder Abuse and Exploitation including covered persons
NIL student athletes, and NCAA Division 1 Men’s Soccer scouting
E-commerce, Online ordering, SMB’s (sole props, LLC’s and LLP’s)
2008 Global Financial Crisis (GFC) Expert

A sample of cases (parties are not available due to confidentiality agreements):

He has assisted on cases pro-bono, such as an elderly retired file clerk who had $26 left in her bank account vs a major broker dealer investment advisor, an FA-advised portfolio by a member of the firm’s Chairman’s club (the subject of a Los Angeles Times article) to exceedingly complex individual, family and corporate tax, estate tax, securities, pension plan, life insurance and annuities matters to multi-billions of dollar class actions including investigation, evaluation and reports and opinions around liability, potential exposures, valuation, damages or surcharge for:

Divorce involving a leading Financial Advisor (FA) at a major broker dealer and investment advisor, multi-million-dollar valuation marital community estate, declarations regarding PMK / corporate representative, compensation plan documents and reports, soft dollars, best execution, prime broker, institutional clients including ERISA pension plans, breach of marital fiduciary duty
ERISA plan violations by the largest commercial bankruptcy in Las Vegas history for the PBGC (the Pension Benefit Guarantee Corp.)
Beverly Hills celebrity poker ring, bankruptcy estate around a hedge fund and its manager, later made into the movie, Molly’s Game on Netflix
Divorce of an investment partner of horse racing’s 1977 Triple Crown winner Seattle Slew’s original breeding syndicate (family law, real property, trust & estate, probate, conservatorship, elder and disabled persons abuse, equine law, legal malpractice)
Bernie Madoff Ponzi scheme, defense of a solo RIA (registered investment advisor)
Intellectual property, Oscar-winning film copyrights, breach of fiduciary duty, custom and practice, closely-held business, charitable foundation, celebrity estate vs one of the largest trust companies in the world (trust & estate matter)
Insured bank deposit sweep account class action & largest US broker/dealers’ bank multi-billion-dollar customers’ funds diversion; a cause of the 2008 GFC and bank bailouts
Nationwide gold coins, bullion & collectibles marketing, advertising and promotion scheme; illegal margin trading investigation
Successor trustee of a prominent family trust which operated a technology business (defense, of a founder of a global pension consulting firm)
Valuation of a Wall St financial advisor’s compensation & benefits plan under the 9/11 Victim’s Special Compensation Fund in a divorce (marital settlement agreement, family law)
Large complex family trust dispute with operating farms, related brokerage account investments, trust heirs, beneficiaries and charitable trust, non-profit bequest dispute
involving multiple generations, siblings and cousins
SMB owner vs the CA BOE, Successor sales tax liability matter
Self-directed IRA involving an official of a national political party, foreign investment
Family trust, offshoring of US-based trust bank accounts, over $100 Million claim in a constructive trust (trust & estate, probate matter)
Criminal fraud impacting 5,000 investors nationwide in a VOIP patent investment scam, Ponzi scheme (criminal defense)
Taft-Hartley plan vs RIA and a prominent pension consultant (best execution, soft dollars)
Publicly traded US homebuilder investigation, the issuer updated its SEC form 8-K disclosures
Investigation of NYSE’s (then a non-profit) corporate governance & compensation paid to a former chairman
NBA and NFL professional athletes, high profile cases vs a major bank and affiliated broker-dealer (fraud, theft, embezzlement, life insurance, unauthorized account access, failure to supervise accounts and licensed registered employees and former employees, investment losses, selling away, outside business activities, forged documents)
Elder financial abuse and exploitation, defense of a financial institution
IRA and subsequent conduit IRA, spousal Trust beneficiary and broker dealer malfeasance dispute involving one of the original investors in the Cheesecake Factory
IRA account, medallion signature stamp guarantee, unauthorized transactions and withdrawals by a spouse against a global brokerage firm, within a related family law / divorce, trust beneficiary, child custody and bankruptcy case involving a pioneer of the fulfillments and promotions for the financial services industry
Corporate governance, termination, compensation of an employee/investor, medical technology industry
Second family challenge of a prominent family trust involving extensive commercial real estate and other holdings, legal entity formation, corporate governance and reporting, breach of fiduciary duty
Family trust dispute, non-profit organization vs estate and heirs, successor trustee, charitable foundation, bequest, forgery, breach of fiduciary duty
Rebuttal expert in a legal malpractice claim, two adopted siblings vs the trust and estate attorney for their deceased, adoptive father
Trust and estate matter including business valuation, estate taxes, life insurance trust and annuity, violations of FINRA rules and regulations, broker dealer supervision, policies and procedures, unauthorized account transfers, change of beneficiary, medallion signature stamp guarantee, elder abuse and exploitation, breach of fiduciary duty involving the founder and owner of a closely held family business vs a major broker dealer and a former licensed and registered employee
Elder abuse and unfair denial of benefits of membership by a fitness club, violations of required CA entity filings
Trust and Estate matter – two siblings vs their father, trustee and GP of the family investment partnership for breach of fiduciary duty, self-dealing, case spanned 40 years
Divorce family law – separate vs community property dispute, opposing spouse was client’s investment partner, was an EA and prepared the couples tax returns, was a licensed financial planner and investment advisor and licensed life insurance salesman, case spanned three decades
Oscar’s (AMPAAS) awards recommendations and solutions (non-commissioned)
NCAA Division 1 Men’s Soccer investigation and solutions (non-commissioned)

Professional History

Over forty years of hands-on experience as expert and independent consultant including 19 years while in the securities industry, 17 years of which were in management at two major Wall St. broker-dealers in national, regional and branch financial, executive, sales and marketing management positions. And since 2003 as an independent expert on statutory, regulatory and SRO compliance, fiduciary duty, privacy, customer and data security in the securities, commodities, futures, life insurance, annuities, banking, real estate industries, market share, market penetration studies, marketing, advertising, promotions, solicitation, plan participant communications, sales contests as well as diversity, recruiting, employment, training, development, compensation, valuation, damages and conflict of interest, power imbalance, information asymmetries and customer communications and disclosure failures.

Global Financial Crisis (GFC) Expert

Annual FiduciaryALERTS™ since 2004 called out rising and extraordinary risks in real estate and fixed income along with prudent steps for trustees and fiduciaries to protect trust assets and trust beneficiaries. Those who prudently followed those alerts were less exposed to the 2008 Global Financial Crisis.

His GFC research began over 40 years ago in 1979. McConnell exposes the banker-made causes of the 2008 Global Financial Crisis (GFC) and connects them to policy, regulatory, banking and broker-dealer failed choices before, during and after the September 2008 crisis. Thus, every securities account, asset, liability, banking, mortgage, loan, foreclosure or eviction were directly impacted by the GFC.

Mr McConnell delivered dozens of approved Continuing Legal Education seminars to attorneys and CPA’s and other professionals and was approved through 2018, by the California State Bar Association, “Investment Fiduciary Responsibilities for Trustees and Fiduciaries” to do so.

For more information contact@fiduciaryexpert.com or (310) 943 – 6509