Attorney, Loveland Consulting
7900 Xerxes Avenue South, Suite 500
Minneapolis, MN 55431
Profit and Loss; Damage Calculation; Cost to Equity; Investment Analysis; Case Design and Consultation for Claimants and Respondents; Fiduciary Duty; ERISA Considerations; State law claims and defenses; Federal law claims and defenses; SEC recordkeeping requirements; FINRA claims and defenses; and Firm-level responsibility for salesperson conduct.
Expertise with respect to front office, middle office, and back office operations.
Expertise with respect to all US traded securities, plus non-traded REITS.
Qualified Neutral mediator under Rule 114.
Keith Alden Loveland is a nationally recognized attorney, author, consultant and teacher within the fields of investments, securities and securities offerings, ethical versus fraudulent practices regarding investments and securities, and fiduciary matters. He has been qualified as an expert regarding the above matters in state and federal courts, and in AAA and NASD/FINRA arbitrations, and also has served as an arbitrator and qualified neutral mediator. Keith currently serves as a subject matter expert to the North American Securities Administratorsí Association [NASAA]; he previously served as a subject matter expert to the New York Stock Exchange [NYSE] Qualification Committee.
Mr. Loveland is a member of the American Bar Association, Business Law Section, Committee on Federal Regulation of Securities, and Committee on State Regulation of Securities. He has been a member of the Financial Planning Association since 1983, serving a three year term on their Board of Directors from 2011 to 2013. He was a recipient of the FPA Heart of Financial Planning Award in 2010. Keith has been a teacher for many years. Among other engagements, he was Adjunct Professor, William Mitchell College of Law, from 1978 to 1987, and Adjunct Professor, Hamline University, from 1979 to 1981, where he taught Philosophy of Law and Jurisprudence. He is currently Adjunct Faculty for The Center for Fiduciary Studies, teaching the Accredited Investment Fiduciary course in Prudent Practices for Investment Stewards, Investment Advisors, and Investment Managers.
Series 3, 4, 5, 7, 8, 15, 24, 27, 53, 63, 65, and 66.
Accredited Investment Fiduciary Analyst and CEFEX Certified Fiduciary Auditor.