Securities Expert Witness & Litigation Services

We are proud to represent either side of the legal table in supporting an ethical and honest industry

with the highest standards of fairness for clients and broker-dealers alike.

Bedford and Main President and CEO John Foster calls upon his in-depth knowledge of broker-dealer management, operations, and compliance to offer subject matter advice and testimony as a securities expert witness. He specializes in clearing services and industry infrastructure litigation.

His experience covers the traditional retail brokerage, the corporate institutional, and the “discount” internet sides of the industry. Additionally, he worked for many years in a senior management role for a large, multi-national clearing firm, which allowed him to develop expertise with foreign accounts and anti-money laundering considerations.

Prior to founding Bedford and Main, John served as the President and CEO of an independent broker-dealer, where he was responsible for ensuring compliance and regulatory requirements were properly implemented to support a retail-based business. The experience gave John a uniquely relevant understanding of core FINRA compliance issues, such as suitability, supervision, senior issues, churning, and written supervisory procedures (WSPs). He is proficient in matters related to client and firm interactions with financial advisors, which are frequently subjects of FINRA arbitrations.

John is also in the somewhat uncommon situation of having held “C” Level positions and FINRA licenses for both futures and securities firms. His broad background encompasses self-clearing firms and smaller introducing broker-dealers providing US domestic and international securities investments.

In line with his overriding concern to support integrity, honesty, and fairness to all parties within the industry, John regularly attends PIABA meetings, as well as FSI, SIFMA, and FINRA events.