Independent Qualified Fiduciary Expert

Audits | Training | Litigation Consultant | Expert Witness

Breach of Fiduciary Duty->Liability->Damages->Expert Testimony and Reports

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Fiduciary responsibility cannot be delegated away even if a trustee properly authorizes a bank, trust company, stock broker, investment adviser or business manager.

Trustees, Board Members

Are you a trustee, ERISA pension plan or 401k plan sponsor? Or a trustee of a charity, non-profit organization, foundation or endowment or board member of a homeowners association (HOA)? Fiduciary management of assets in trust rests on your shoulders, with personal responsibility. Fiduciaries are required to exercise a prudent process, in as much as few schools teach fiduciary responsibility, trustees and ERISA Plan Sponsors can improve performance, fulfill fiduciary responsibilities and protect themselves against claims for breach of fiduciary duty.

Trust Beneficiary, Pension Plan Participant or Beneficiary

Are you a trust beneficiary, Plan participant or beneficiary of a participant in an ERISA, Taft Hartley Act, or Public (State, county, city or agency) pension benefit, 401k, 403b or 457 plan or a financial supporter of a non-profit? Neglected accounts may begin to show increased risks, volatility, losses and or index-lagging performance, Ponzi schemes or senior fraud. Trust beneficiaries or ERISA plan participants can better protect their inheritance, trust distributions or plan benefits after consulting the Fiduciary Expert.

Fiduciary Duty Expert Witness litigation consulting includes support, expert reports, testimony, opinions of fiduciary liability, suitability or failure to supervise claims for damages in Trust, Estate and Probate; ERISA pension, profit sharing and 401k plans; Suitability, supervision in FINRA (NASD), Regulatory agency, SEC investigations; board of trustees, investment committees at HOAs, charities, tax exempt, 501 c-3 Non-profit organizations, Foundations & Endowments; and certain family law issues like QDROs from a spouse’s trust, 401k or ERISA plan.

Note: Fiduciary duty, if any, is in addition to, may precede, requires a higher standard of care for customers accounts than suitability and may arise at any time, to any type of account, investment, asset, annuity or life insurance.

In nearly every dispute whether trust or non-trust account, IRA, ERISA pension retirement benefit plan, charity, non-profit, foundation or endowment account, at the outset parties form a trusting relationship, promises are made, expectations are created, reliance and often complacency can take root, disappointments occur, communication wanes, account values continue to suffer, risks increase, prudence gaps manifest then arbitration claims or lawsuits are filed.

It’s best if we can be retained prior to the establishment of the new account (or new advisory) relationship to help prevent these types of situations When lawsuits or claims are contemplated we prefer to be involved at the earliest opportunity prior to filing.

For concerns related to breach of fiduciary duty, self-dealing, conflict of interest or malfeasance or violations of FINRA or SEC securities industry rules and regulations please contact us at:

CHRIS MCCONNELL & ASSOCIATES does not sell investments, insurance or provide investment, legal or tax advice. And to preserve independence does not accept referral fees, commissions, finders or asset placement fees of any kind.

Please consult your legal, tax and investment adviser for appropriately tailored advice.

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

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