Conlon Financial Advisors & Associates has experience in evaluating and providing expert opinions in cases involving the following issues:

Peter J. Conlon, Jr. has over 30 years experience that includes academic, dispute resolution and practical experience in the financial industry. From 1978 to 1988, he was a member of the Adjunct Faculty at Texas Christian University School of Business teaching classes in Marketing, Personnel Management, Finance and Operations Management.

Since 1985, Peter J. Conlon, Jr. has developed an advisory practice specializing in the management of retirement accounts, fee-based planning and consulting. From 1985 to 1988, while with Shearson Lehman Brothers, he dealt with retail customers as an FC in addition to being the Mutual Fund Coordinator and Retirement Plans Specialist for the branch. From 1988 to 1989, Peter was with Rotan Mosle/Paine Webber as a retail FC and retirement plans specialist until 1989 when he opened an Independent Contractor branch for Raymond James Financial Services (formerly known as Investment Management and Research). From 1989 to 2003, Pete was the Branch Manager responsible for all compliance, new accounts and suitability issues for this branch while at the same time establishing his advisory practice as an hourly fee-based service.

Mediation: Peter J. Conlon, Jr. has experience mediating cases in the areas of personal injury, contract disputes, EEOC and securities. He is appointed with the FINRA panel of mediators and qualified to mediate cases in all jurisdiction in the State of Texas.

Arbitration: Peter J. Conlon, Jr. has arbitration experience in matters including securities, employment issues and state usury cases. He is appointed on the FINRA (formerly NASD/NYSE) panels and has heard cases in Dallas, Houston and Oklahoma City.

Expert Witness: Peter J. Conlon, Jr. has provided expert testimony concerning various aspects of the financial industry including ethics, regulations, suitability, compliance and standards of practice. He has worked for both plaintiff and defense firms and testified in Texas District Court and NASD Arbitration hearings in Dallas and San Francisco. He has issued opinions on cases that have assisted in reaching settlement either through mediation or settlement discussions prior to trial or hearings.

Instructor: Peter J. Conlon, Jr. writes and teaches continuing education classes for financial professionals (CFP, CPA, Insurance Agents, Stockbrokers) on various topics, including but not limited to: ethics, rules and regulations, estate planning, investments, etc. These classes are conducted on behalf of Southwest Training Schools, a licensed provider in Texas.

Military Experience: Peter J. Conlon, Jr.’s military experience includes both active duty (1973-1979) and active reserve (1979-1994). Duties performed included Pilot, Administrative Staff Office, Command and Control Center. His responsibilities included compliance, classified activities, inspector team and command responsibilities.

Contact us if we can assist in resolving your dispute or providing a review, opinion and expert witness testimony, if necessary, within any of the areas of expertise listed.