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Consulting Services


Steve Scales
Elliott Server
Paul Litteau

SFS Litigation Support Services
SFS Damages Experts
SFS P&L Express Case Summary

NERA Consulting

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.





Steve Scales
Managing Director and President
Consulting Division

Secure Financial Services, Inc.

Secure 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 outcome.

The affiliation combines the capabilities of a well-respected expert witness firm with one of the largest and most comprehensive analytics firms in the securities litigation industry. With this affiliation, SFS now offers clients a 'one-stop-shop' for the entire range of securities analysis and consultation. Steve will direct the company's expert witness division from his current location in Memphis and will continue to provide uninterrupted service to his existing client base.

Steve 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 Division.


A printable CV for Steve Scales is available in PDF format.

SFS CONSULTING DIVISION CONTACT INFORMATION
Email:

Tel: 901-259-2981
Cell: 901-489-2901

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Elliott Server
Securities Litigation Consultant
Consulting Division

Secure Financial Services, Inc.


Elliott Server brings a long and distinguished career in securities industry branch management and senior supervisory positions. His thirty year career at Morgan Stanley Dean Witter concluded as Senior Vice President and Director of the company's overall life and annuity sales, product development, and estate planning programs at the firm's headquarters in New York.

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.

A printable CV for Elliott Server is available in PDF format.
A printable Expert Witness Qualifications for Elliott Server is available in PDF format.




CONTACT INFORMATION FOR ELLIOTT SERVER

Email:
Tel: 770-392-1293
Cell: 404-447-6466

 

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Paul Litteau
Securities Litigation Consultant
Consulting Division

Secure Financial Services, Inc.

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).

Internationally, 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.


SFS CONSULTING DIVSION CONTACT INFORMATION

Email:
Tel: 901-259-2981
Cell: 901-489-2901

 

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SFS Litigation Support Services

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

  • critical insights into evaluating the matter from a 'numbers' perspective;
  • crucial information on the strengths and weaknesses of the case based on our analytical reporting and expertise;
  • diligent preparation early in the life of a case in the effort to settle the matter at an early stage.

As 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.

 

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SFS Damages Expert Testimony


As securities cases can take on a life of their own, quick assessment and response to last-minute issues is vital. Secure Financial Services' Consulting Division provides consultation, case opinion, presentation support, deposition, and trial testimony in a wide-range of securities and securities brokerage matters and at any point in the process, from initial analysis to arbitration hearing.

Damages

SFS Damages Experts have extensive experience and skills in

1. Identifying sensitive areas for potential cross-examination;
2. Recommending targeted analytical reports to support the case strategy;
3. Preparing effective comparative analyses.

Retaining 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.

Liability

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.

Areas of expertise include:

-Annuities
-Certificates of deposit
-Corporate bonds
-Limited partnerships
-Margin calls
-Mutual funds
-Options
-Suitability
-Supervision


SFS Damages Experts include:

........ James H. Bushey
........ Scott J. Moore
........ Steven McDonald
........ David B.Landers
........ Sean McDonough


To contact an SFS Damages Expert, please send an email to Scott Moore at or call 802-879-2077.

 

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NERA Economic Consulting Now Available to SFS Clients

National 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.

NERA is widely recognized as a leading economic consulting firm, providing practical advice related to highly complex business and legal issues arising from competition, regulation, public policy, strategy, finance, and litigation. NERA clients include corporations, governments, law firms, regulatory agencies, trade associations, and international agencies. NERA's securities and finance experts bring to bear a thorough understanding of securities, the markets in which they trade, and the regulatory institutions that govern them with sophisticated advisory services that have been rigorously tested in a litigation setting. SFS offers a range of solutions that allow clients to assess investment portfolio irregularities, perform some damage calculations, and create a variety of other relevant financial reports and analyses used in securities arbitration cases.

With 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.


Additional information is available by contacting:

NERA Economic Consulting
Benjamin Seggerson
202-466-9232

Secure Financial Services, Inc.
Steve McDonald
802-879-2077

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.

 


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For more information about how SFS Consulting Division can fulfill your litigation needs, please contact us.

CONTACT INFORMATION

Telephone: 901-259-2981
.................. 901-489-2901 cell

Email:

 

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Secure Financial Services, Inc.
97 Blakely Road, Suite 107
Colchester, VT 05446
802-879-2077