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Secure Financial Services, Inc. is dedicated to helping you implement and understand today's most complex securities analysis and reporting methodologies. We have the experience and expertise to help you strategize and prepare for arbitration matters of any size. From the initial case assignment to final report completion and preparation, our Expert Analysts will make certain you have all the information you need for success.
SFS plays an essential role in your successful case strategy by providing timely and relevant analytical reports to bolster a case strategy. We are effective in compiling alternative investment analyses and compelling graphic charts for presentation during the arbitration proceedings - from simple, straight-forward cases to class action matters. As you travel down the road of the investment complaint process, you can rely on SFS.
Managing Director and President
Secure Financial Services, Inc.
Financial Services, Inc. affiliation with Scales Consulting Group greatly
enhances its litigation support and expert witness services. For attorneys engaged
in securities arbitration, litigation, and mediation matters, Steve's experience
and range of capabilities has a positive impact on proceedings and final
brings over 25 years of experience in securities branch management, supervision
and related investment activities, and a working knowledge base that includes
equities, fixed income products, insurance, options, futures, and most other investment
related products. Steve began his securities career in 1978 and was a Senior Vice
President with Morgan Stanley until he launched Scales Consulting Group in 2003.
Steve is the Managing Director and President of the SFS Consulting
A printable CV for Steve Scales is available in PDF format.
SFS CONSULTING DIVISION CONTACT INFORMATION
With significant industry experience in financial management, supervision, and suitability issues, Elliott brings an in-depth knowledge to all phases of securities litigation including debt securities, derivative instruments, equity securities, fixed income securities, futures, hedge funds, investments, mortgage-backed securities, stock options, preferred stock, public offerings, securities 10b5 actions, regulation, fraud, and structured finance.
At SFS we believe our team of experts can provide valuable assistance in the development of the case, including framing the issues at dispute, assisting with the complaint and discovery, offering guidance for depositions of other witnesses, and providing ancillary services contributing to case success.
for Elliott Server is available in PDF format.
Paul Litteau brings a long and distinguished career in the securities industry as a regulator with the NASD, Compliance and Internal Audit Director with a NYSE member firm, consultant, and educator.
Paul has long been active within the US and internationally with securities broker-dealers and other financial institutions in matters of regulatory compliance, supervision, internal controls, administration, operations, registration, organization and training. Paul is an experienced consultant, providing analysis and expert opinion in securities and futures related litigation and arbitration. He is currently a FINRA arbitrator.
As an educator, Paul has taught graduate and undergraduate level finance classes. He has developed curriculum and course materials, and conducted training seminars to prepare candidates for securities industry qualification examinations at all levels from entry (broker) through managerial (supervisor).
Paul has advised securities regulators and exchanges around the globe in such
countries as India, Russia, Zambia, and Croatia in a wide range of topics. He
has conducted seminars on subjects including the fundamentals of financial futures
and options, risk management, internal controls, and other regulatory and compliance
related topics. He has designed qualification and testing programs for brokers
and other financial intermediaries, and has assisted in the development of regulations,
procedures, oversight, surveillance and reporting activities.
A printable CV for Paul Litteau is available in PDF format.
To learn more about our Consulting Services Divisionor to receive complete background
materials on our experts, we invite you to contact Steve Scales, President of
the SFS Consulting Division.
With a full time staff of Expert Analysts and the most comprehensive securities analysis software available today, SFS is capable of rapidly responding to client requests for testimony, exhibits, and responding calculations. SFS prepares comprehensive analytical reports to support damage calculations and related matters in the Respondent's arbitration setting. SFS processes more than 1,500 securities cases per year, so we are very familiar with the nature of claims and how to effectively prepare analytical strategies and reports to counter those claims.
SFS Expert Analysts have a track record of success in working directly with staff attorneys and outside counsels to provide
fact based experts, our analysts bring an objective viewpoint to the proceeding
from Day 1, helping to assess the merits of the case from the actual monthly statements,
trading confirmation documents, and other relevant information about the matter.
Working with our clients, we offer the benefit of our experience on items relating
to securities industry, including analytical theories, mathematical formulas relating
to account performance, damage assessment, and alternative reporting and analysis.
To contact SFS about our Litigation Support Services, please send an email to Steve Scales at or call 901-259-2981.
SFS Damages Experts have extensive experience and skills in
an SFS Damages Expert to be present at the hearing for both observation and testimony
becomes more important with the high dollar amount of the claim and the complexity
of the issues at hand. We are always pleased to provide any level of assistance
to clients and are available either in-person or via teleconference to help provide
a successful outcome for your case.
SFS Liability Experts have assisted brokerage firms in all types of litigation situations, including underwriting, retail customer trading disputes, institutional investors' claims, class action litigation arising from complex financial transactions, and claims relating to back-office trading errors from misrepresentations and omissions and suitability to churning, unauthorized trading and other federal and state securities law claims.
of expertise include:
SFS Damages Experts include:
To contact an SFS Damages Expert, please send an email to Scott Moore at or call 802-879-2077.
Economic Research Associates (NERA), an international consulting firm and Secure
Financial Services, Inc. (SFS), an information solutions provider, have announced
a cooperative agreement to jointly offer services
to clients in the legal and securities marketplace.
this new cooperative agreement, clients will benefit by having coordinated access
to both the insights of NERA experts and the analytical tools developed by SFS.
According to James Bushey, President of SFS, "We are seeing increasingly
complex case issues that require a level of knowledge our firm is unable to provide.
We look forward to working with NERA to offer additional expertise and resources
to our growing client base." Both companies see the advantages in working
together in the securities arbitration area. "We have found the SFS work
product to be a very effective tool in retail securities matters. Collaborating
to offer the most comprehensive services in this marketplace benefits everyone,"
adds Andrew Carron, President of NERA.
Financial Services, Inc.
For more information about NERA, visit www.nera.com.
To have NERA review your case, please send an email to Steve Scales at or call 901-259-2981.
For more information about how SFS Consulting Division can fulfill your litigation needs, please contact us.