FEND

FEND Securities Expert Witness, Registered Principal Due Diligence at FEND (Financial Education Network Development) FEND, through Mason A. All of Mr.

Dinehart III, RFC, provides objective expert witness opinions on the standard of care in the securities industry, based upon discovery, due diligence, technical knowledge and the four decades of securities experience he brings to the case. From a long-standing banking background in corporate finance, to underwriting and investment banking and real estate experience, he adds a strong knowledge of m

odern portfolio theory through the teaching of hundreds of retirement financial planning seminars at the corporate level. From this vantage point, FEND provides a refreshing prospective in the securities expert witness testifying arena that combines comprehensive analysis with effective communication skills. These factors, along with serving as a FINRA arbitrator and representing both claimant's and respondent's (65%/35%), contribute to a 90% success ratio in the securities expert witness field. Dinehart's securities licenses are current (7, 24, 63, 65, 79 & 99).

06/23/2026

Secure .gov websites use HTTPS A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

(submitted by FEND Securities Expert Witness)
06/23/2026

(submitted by FEND Securities Expert Witness)

On May 20, FINRA announced settlements requiring two member firms to pay more than $1.1 million over alleged AML and supervisory violations involving...

06/16/2026

On June 5, 2026, the Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”), jointly with the Federal Deposit Insurance Corporation…

06/15/2026

US Supreme Court decision in Flowers Foods v. Brock clarifies that the FAA Section 1 exemption may apply to workers engaged in intrastate segments of interstate commerce, raising new considerations for arbitration agreements in logistics and delivery operations.

06/09/2026

Authorities alleged Left manipulated the stock market and defrauded investors with misleading claims about his positions in stocks including Nvidia and Tesla.

(submitted by FEND Securities Expert Witness)
06/08/2026

(submitted by FEND Securities Expert Witness)

Industry report shows that there are now fewer firms as consolidation intensifies.

06/02/2026

US order shifts focus: President Trump’s May 19 order directs regulators to enhance customer due diligence, expand ownership transparency, and integrate immigration-related risk indicators. EU harmonizes PEP rules: The EU AML Regulation standardizes PEP definitions and prescribes stricter due dili...

06/01/2026

On May 14, 2026, the U.S. Supreme Court issued a unanimous decision in Jules v. Andre Balazs Props., No. 25-83, 2026 WL 1336216 (U.S. May 14, 2026). The Court held that when a federal district court stays a lawsuit and refers the dispute to arbitration pursuant to Section 3 of the Federal Arbitratio...

05/26/2026

Secure .gov websites use HTTPS A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

(submitted by FEND Securities Expert Witness)
05/25/2026

(submitted by FEND Securities Expert Witness)

FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest compliance

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