Neal Shikes

Neal J. Shikes has 30 years of experience in the Financial Services Industry and an expansive network.

Expert Testimony

• Accommodating to plaintiffs and defenses on the following services: breach/allegation discovery and formulation, evidence discovery and interpretation, methodology discovery, case origination (plaintiff), expert opinion, expert witness/testimony, and cross-examination assistance.
• Testimony experience includes FINRA arbitrations

Professional Experience

• 30 years of experience in financial services; wealth management, portfolio construction, Employer-Sponsored Retirement Plans (design & forensics), fintech, annuities, consultant to the financial services industry and the legal profession on all matters of FINRA/Suitability & ERISA/Fiduciary Duty
• Employed by global and regional financial institutions, private banks, broker-dealers, registered investment advisers, and clearing firms.
• Guest writer for financial publications, articles, blogs, and referenced by “think-tanks” and financial associations.

Areas of Expertise

• Wealth Management/Portfolio Construction
• Analytics (Modern Portfolio Theory, Benchmarking, Capital Market Assumptions)
• Financial Technology and integration (Client Relationship Management Software/Services, Financial Planning Software/Services, Reporting Software/Services, Turn-Key Asset Management Programs)
• Financial Services Products
• Retirement Plan Design & Forensics
• Regulation/Law (FINRA, ERISA, Department of Labor, Trust Law, Uniform Prudent Investment Act)
• Banking Products