Douglas J. Schulz
President, Invest Securities Consulting Inc.
301 Snowcrest Road
Westcliff, CO 81252
Unauthorized trading, Margin, Suitability, Supervision, Compliance, FINRA and SEC Regulations, Online- Internet Trading, Options, Stocks, Bonds, Mutual funds, Limited Partnerships, Private Placements, and Selling Away, Private Placements, Arbitration, Mediation, Discovery, Compliance Manuals, Due Diligence, Employment Disputes, Third Party Trading Authority, Day Trading, Fraud, Damages, Punitive Damages, Power of Attorney, Investment Strategies, Retirement Accounts, Account Analysis, RIA, Registered Investment Advisors, 33 and 34 act, 1940 act. Know Your Customer,
Douglas J. Schulz has worked in the securities industry for over 34 years. He is a Certified Regulatory Compliance Professional, CRCP. He has worked as a Registered Representative (Broker) for such firms as Bear Stearns, Merrill Lynch and Investors Diversified Services (IDS). He has held numerous securities licenses and certifications such as the Series 24, 6, 7, 3, and
he has also worked as a Registered Investment Advisor (RIA). In addition, since 1989 Mr. Schulz has been a securities expert witness through his company, Invest Securities Consulting Inc. which is based in southern Colorado. Invest has been hired to do financial
investigative and due diligence work for brokerage firms, investment banking firms, publicly traded companies, individual investors and merchant banking operations. Mr. Schulz has been involved in over 1,100 cases and has testified over 650 times. He has worked closely
with regulators on numerous cases and is an arbitrator for FINRA. He co-authored a book: Brokerage Fraud What Wall Street Doesn’t Want You to Know with Tracy Pride Stoneman, a nationally known securities attorney. The book was favorably reviewed by both BusinessWeek and Complinet. Mr. Schulz has been quoted in almost every financial publication in the United States, and due to the popularity of his book was a regular guest on financial radio and television programs. He has been a prolific author of articles and treatises on securities regulation and securities arbitration. Some of his more sought after publications are on the issues of online trading and unauthorized trading.