Litigation Support

Trusted Financial Experts for Litigation & Arbitration

Unbiased Expertise That Drives Results

At JSM Advisors, we provide expert witness testimony, litigation consulting, and dispute resolution support for law firms, regulatory agencies, and public defenders. Our professionals bring decades of real-world financial, regulatory, and compliance experience to help clarify complex financial disputes and guide successful outcomes.

Who We Serve

Civil & Criminal Law Firms

Federal and State Regulators

Public defenders

Parties in FINRA & NFA arbitration or mediation

Our Expertise Covers

SEC, FINRA, DOJ, and NFA proceedings

State securities and insurance regulators

Financial fraud, misrepresentation, negligence claims

Broker-dealer policies, supervisory controls, and regulatory standards

Strategic Guidance from Pre-Claim to Resolution

Whether you need a credible expert witness, detailed financial analysis, or arbitration support, our team delivers clarity, credibility, and confidence throughout the dispute process.

Core Services Include:

Expert Witness Testimony

Clear, credible insights on causation, liability, and damages.

Litigation Consulting

Strategic guidance for complex financial disputes

Arbitration & Mediation Support

Assistance through filing, discovery, and hearings

Compliance Insights

Analysis of regulatory standards, WSPs, and firm procedures

Looking for more details?

Call, email or leave a message telling us about what you're looking for.
We'll reach back to schedule a consultation to see how we can help you.
Connect with an Expert
info@jsmadvisors.net

Hear it from our clients

"
We've been partnering with JSM Advisors for over two decades, and their expertise in regulatory compliance has been invaluable to our brokerage firm. Their team consistently ensures that we meet all necessary regulations and standards, allowing us to focus on our core business. JSM Advisors is not just a service provider; they are an integral part of our success.
"

Brokerage Firm

"
As a Registered Investment Advisor, compliance is paramount in our industry. JSM Advisors has been our trusted compliance partner for the last 15 years, and their services have been exceptional. Their knowledgeable team and personalized approach have made navigating the complex regulatory landscape a breeze. We highly recommend JSM Advisors to any RIA looking for top-tier compliance solutions.
"

Wealth Management Firm

"
JSM Advisors has been instrumental in our broker-dealer's success. Their regulatory compliance services are comprehensive and tailored to our specific needs. From membership registration to ongoing oversight of our books and records, they've consistently exceeded our expectations. Their experienced team has saved us both time and money while ensuring we remain fully compliant.
"

Independent brokerage firm

"
As a smaller broker-dealer, we were concerned about the cost and complexity of maintaining compliance. JSM Advisors came to our rescue. Their cost-effective solutions and outsourced Chief Compliance Officer (CCO) services have allowed us to meet all regulatory requirements without the burden of hiring and training in-house staff. JSM Advisors is a true partner in our growth.
"

wealth management FIRM

"
I can't express enough how valuable JSM Advisors has been to our firm. For four decades, they've consistently demonstrated their expertise and commitment to our compliance needs. Their proactive approach to regulatory changes and their quick response to our inquiries have made them an indispensable part of our Registered Investment Advisor practice. We're proud to have JSM Advisors on our team.
"

Financial Planning Service Provider

Let’s Simplify Compliance.

And Strengthen your Firm.

Connect with an Expert