Cover of Book, Brokerage Fraud

Order Now Button for Book, Brokerage Fraud


The authors have taken the rules and regulations of the brokerage industry and put them in laymen’s terms. -- Professor William C. Tyson, The Wharton School & The Law School of the University of Pennsylvania

The Book, Brokerage Fraud is a must read for all compliance professionals and brokerage firm's compliance and legal departments.

This book is a timely wake up call to the brokerage industry to clean up its ways. -- George D. Mullen, Vice President UBS PaineWebber

Tracy Stoneman and Douglas Schulz certainly know what Wall Street brokerage firms wish you didn't. -- Evan Cooper, Editor-in-Chief, On Wall Street, Co-Author

This book can save you thousands of dollars and loads of headaches! -- Jordan E. Goodman, author of Everyone's Money Book

Had "Brokerage Fraud" been available to my wife and I eight years ago, it may very well have saved us the fortune we lost to a mercenary industry that promotes itself as caring and responsible, when in fact it cares mostly for itself.

"Brokerage Fraud" is frank and friendly, organized, comprehensive, easy to digest -- and quite unique, too, because the distinguished authors tell all about an autonomous, all-powerful institution that routinely sheers the uninitiated."

". . . I am an attorney and an investor. Yet, I must say that each chapter of 'Brokerage Fraud' brought new information and insight that is invaluable . ."

Use the link below to get details, qualifications, certifications, licenses, as well as regulatory actions and violations or complaints on Brokers & Brokerage Firms.

link to FINRA for Broker Check

North American Ssecurities Administrators Association

icon to link NASAAContact State Regulators

- Search by state

(click icon to access site)

Investment Adviser - 

Search for an Investment Adviser Firm and Individual Investment Representative currently registered with the SEC and State Securities Regulators

icon linking to Public disclousure - SEC

(click icon to access site)


Investment Adviser Data -

  • SEC Investment Advisers Report
  • State Investment Advisers Report
  • Investment Adviser Representative 


Latest Report - Download available

Investment adviser's report

(click icon to access site)




Icon for the SEC websiteTo protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

 (click icon to access site)


In today’s extraordinary financial times I have recognized a substantial increase in investors’ claims against stock brokers and investment advisors.  This increase has created a greater number of securities arbitration case filings. Judgements are uncertain and the stakes of securities arbitration is continually getting higher. With that uncertainty in mind  it has become increasingly important to employ a securities expert witness who has a national reputation, who fully understands the arbitration process, and has years of industry experience.  -

                                                  Mr. Schulz's signature

If you are an attorney, there are a number of services Mr. Schulz can offer you. If you are a securities attorney, who does this type of work on a regular basis, you can read his resume or, better yet, give Mr. Schulz a call at (719) 783-3230. Resumes can be very dry, and since any expert witness is only as good as his ability to present himself, you will have a better opportunity to measure Mr. Schulz'' value to you and your client once you have spoken with him on the telephone.

If you are an attorney looking for other services offered by Invest Securities Consulting, Inc., such as due diligence work or portfolio evaluation, please refer to Client Services. 

If you are an attorney who is new to securities litigation field, you will find Invest an excellent place to start. There are many attorneys in the country who call Mr. Schulz before they even take on a new securities case. Since Invest has been evaluating portfolios and making investments for over 39 years and assessing potential securities cases for 30 years, Mr. Schulz can be a great asset. Mr. Schulz has evaluated in excess of 3,000 portfolios and cases and has the ability to ascertain rather quickly such elements as improprieties and the like. If you are not well versed in securities arbitration, it is usually a good practice to hire a good expert, such as Mr. Schulz, prior the filing of the claim. Arbitrators are not always so lenient if you have failed to properly state all of your causes of action. It is also a good habit to have your expert involved in the discovery process at the early stages of the case, because your expert will be hampered if you have not obtained the necessary documentation.

Mr. Schulz is often called upon to assist attorneys in areas that perhaps go beyond traditional expert witness work. Prior to 1987, the courts were open to investors. When Mr. Schulz started his testifying work in 1989, a large number of the attorneys were not experienced in securities or securities arbitration and Mr. Schulz grew up in that environment. Even to this day, some attorneys who are not securities knowledgeable and are not familiar with the rubric of arbitration, occasionally hire Mr. Schulz. In addition to being a securities expert, he is an arbitration consultant. When necessary, Mr. Schulz is capable and qualified to assist in drafting claims, assisting in arguments and strategy, the selection of arbitrators, and in assisting in settlements, if the attorney should need such help. Give Mr. Schulz a call to discuss the particulars of your situation. To discuss or request a contract contact Mr. Schulz  by phone: (719) 783-3230

Mr. Schulz’s abilities and his experienced and unique background, plus over 37 years of securities industry  expertise produces clear, concise reports resulting in well-designed strategies that make his work as a securities expert highly respected.