Founding Member, Herrmann Dispute Resolution Services, LLC
174 Queen Street
Charleston, SC 29401
Jack Herrmann supports Attorneys as a Consultant and testifying Expert for securities cases in federal and state court, and at FINRA arbitration hearings. He works with Attorneys representing Respondent/Defendant firms, and with Attorneys representing Claimants/Plaintiffs for public cases, industry cases, securities industry employment cases and class actions.
Some of the services Jack provides as a Consultant and about which he testifies in federal and state court and at FINRA arbitration hearings include:
Evaluates cases; securities industry rules, regulations and standards of care; fiduciary duties of Investment Advisors, Trustees and Board members; conflicts of interest; margin trading; Ponzi schemes; suitability; supervision; calculates investment performance. Cases include public cases, securities industry employment cases and class actions.
Jack is a FINRA-trained neutral Arbitrator and Mediator.
F. Jack Herrmann
Jack Herrmann graduated from Phillips Academy in Andover, MA and from Washington and Lee University in Lexington, VA earning a Bachelor of Science degree with special attainments in Business Administration.
HERRMANN DISPUTE RESOLUTION SERVICES
For over ten (10) years Mr. Herrmann has been active as a Consultant and testifying Expert assisting Attorneys with securities cases, and active as a neutral Mediator and Arbitrator with the NASD and FINRA.
As a Consultant and testifying Expert for more than ten (10) years, Mr. Herrmann supports Attorneys from law firms around the country for securities cases in federal and state courts, and at FINRA arbitration hearings. Mr. Herrmann works with Attorneys representing major financial services firms, and also works with Attorneys representing individual and institutional investors, Investment Advisors and brokers in all types of securities cases. As a Consultant Mr. Herrmann assists Attorneys evaluate cases and participates in settlement negotiations and mediations. As a testifying Expert Mr. Herrmann testifies on securities industry standards of care, and industry rules and regulations.
Jack Herrmann has over thirty (30) years of experience in the investment business, including serving clients as a broker, Portfolio Manager, Investment Advisor, and founding a Registered Investment Advisor. His managerial assignments included serving as Branch Manager, Resident Managing Officer and Manager of Branch Administration.
Jack has performed investment advisory and consulting services for the U. S. Department of Justice in Washington, DC; a state agency; the South Carolina Bar Foundation; law firms; private foundations; Trusts; individuals and families.
Jack Herrmann is married to the former Susan Applegate with six (6) children and many grandchildren. He is in excellent health with a height of 5’-11 ¾” and weight of 180 pounds.