FEND Securities Expert Witness, Registered Principal Due Diligence at FEND (Financial Education Network Development) FEND, through Mason A. All of Mr.

Dinehart III, RFC, provides objective expert witness opinions on the standard of care in the securities industry, based upon discovery, due diligence, technical knowledge and the four decades of securities experience he brings to the case. From a long-standing banking background in corporate finance, to underwriting and investment banking and real estate experience, he adds a strong knowledge of m

odern portfolio theory through the teaching of hundreds of retirement financial planning seminars at the corporate level. From this vantage point, FEND provides a refreshing prospective in the securities expert witness testifying arena that combines comprehensive analysis with effective communication skills. These factors, along with serving as a FINRA arbitrator and representing both claimant's and respondent's (65%/35%), contribute to a 90% success ratio in the securities expert witness field. Dinehart's securities licenses are current (7, 24, 63, 65, 79 & 99).

06/02/2026

US order shifts focus: President Trump’s May 19 order directs regulators to enhance customer due diligence, expand ownership transparency, and integrate immigration-related risk indicators. EU harmonizes PEP rules: The EU AML Regulation standardizes PEP definitions and prescribes stricter due dili...

06/01/2026

On May 14, 2026, the U.S. Supreme Court issued a unanimous decision in Jules v. Andre Balazs Props., No. 25-83, 2026 WL 1336216 (U.S. May 14, 2026). The Court held that when a federal district court stays a lawsuit and refers the dispute to arbitration pursuant to Section 3 of the Federal Arbitratio...

05/26/2026

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  (submitted by FEND Securities Expert Witness)
05/25/2026

(submitted by FEND Securities Expert Witness)

FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest compliance

05/19/2026

According to FINRA, small broker/dealer firms should strategically use their limited resources to conduct effective due diligence on private and public offerings.

05/18/2026

(Daniel Slim/AFP via Getty Images)Yesterday’s opinion in Jules v. Andre Balazs Properties firmly validated the authority of federal courts to enforce arbitration awards made in cases already pending in federal court. The case is important for the practice of arbitration because it follows directly...

05/12/2026

Wall Street's top regulator on Tuesday proposed ​allowing U.S.-traded companies to switch from quarterly to twice-annual earnings reports, pursuing an idea President Donald Trump has personally pushed during both his ‌presidencies.

  (submitted by FEND Securities Expert Witness)
05/11/2026

(submitted by FEND Securities Expert Witness)

Congressional hearings in March laid bare the severe doubts some lawmakers in Washington have about FINRA, the giant self-regulatory organization that oversees the securities industry.

05/05/2026

How AI-powered guided workflows are helping law firms complete due diligence in hours while improving consistency across deals.

05/04/2026

Hi TCPAWorld! We all know that arbitration provisions are a good way to protect against class action lawsuits. Well, the Northern District of Texas gave us a bit of guidance on how to ensure that provision is enforceable in Horton v. LeafFilter N. LLC, No. 3:25-CV-2318-X-BN, 2025 WL 2638665, at *1 (...

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