Affiliations & Roles

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FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. The resolution of problems and disputes is accomplished through two non-judicial proceedings: arbitration and mediation.

CalcGuard Technologies is a consortium-style, unconflicted data and calculation platform providing a reliable and enhanced source of comprehensive order and execution data.

The Plia Platform which was developed in 2012 to manage the due diligence process and streamline the transfer of information between asset managers and their counterparties for risk management and ‘best execution’ purposes. Plia is the leader in the KYB (Know Your Broker) category of compliance and due diligence software.

Securities Expert Roundtable (SER) is a non-profit 501c(6) Expert Witness & Litigation Support organization.  It provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral.

The National Organization of Investment Professionals (NOIP), formed in 1983, is a nonprofit association of investment professionals. NOIP's diverse membership comprises senior professionals representing investment managers, institutional and retail broker-dealers, national securities exchanges, and experts in various asset classes. Members share a common objective of fostering a favorable regulatory environment for institutional participation in fair and open securities markets, which are both efficient and effective.