Finra Arbitration Expert Witness.

Mr. Huggard is a senior member in the Raleigh law firm of Huggard, Obiol and Blake, P.L.L.C. He limits his trial practice to consultation in the areas of fiduciary law and financial litigation. Mr. Huggard has nearly 40 years of expertise in the area of financial law. He retired as an Alumni Distinguished Professor from North Carolina State University where he taught law and finance courses for 30 years. John has been extensively interviewed or quoted in The Wall Street Journal, Smart Money, USA Today and other financial publications. He is a nationally recognized expert and speaker. His areas of expertise include:

  • Suitability of Investments
  • Breach of Fiduciary Duty
  • Standards of Practice
  • Professional Conduct
  • Failure to Supervise
  • Broker Negligence
  • Securities Fraud
  • Ponzi Schemes
  • Regulatory Compliance Issues
  • Securities/FINRA Arbitration
  • Variable annuities as investments
  • Mutual funds as investments
  • Fixed annuities
  • Fixed Index annuities
  • Immediate annuities
  • Life Insurance Products
  • The federal income, estate and gift tax aspects of mutual funds and variable annuities
  • The costs involved in the owning of mutual funds and variable annuities
  • The suitability of mutual funds and variable annuities as investments
  • The suitability of variable annuity sub-account investments

Mr. Huggard has acted as an expert in numerous NASD/FINRA arbitration hearings, federal and state court cases. Mr. Huggard works with both plaintiff and defense attorneys and is available nationwide and internationally.