Steve Garrett - Expert Witness

steve garrett has served as an expert witness in: • u.s. federal court of bridgeport, connecticut, • u.s. federal court of boston, massachusetts, • superior court of san bernardino county, california, • superior court of orange county, california, • superior court of los angeles county, • muskegon county district court, muskegon, michigan, • national association of securities dealers (nasd) and financial industry regulatory authority (finra) arbitration panels. i have testified in numerous instances from 1991 to 2018 on the following topics: supervision of registered representatives: • failure to supervise; including industry practice and standard of care in complying with finra rules, • best practice and standard of care over and above finra rules, suitability of investors and • industry practice and standard of care in profiling the customer and complying with finra rules. expertise in the suitability of investments includin• individual stocks, i joined merrill lynch in december of