Expert Witness Blog

In Failure to Supervise: An Inside Perspective, securities expert witness Alan Besnoff, Securities Expert Witness & Litigation Support, LLC, writes:

What are the steps that a Supervising Principal can and should take to assure adherence to FINRA regulations, the highest of ethical standards, and Supervisory duties are being met?

It is my belief that it is most important for the Supervising Principal to develop and maintain a culture of absolute adherence to FINRA regulations, company compliance guidelines, and the highest of ethical standards. To accomplish this desired culture, the Supervising Principal must always be consistent in his or her dealings with brokers and in demonstrating such a mindset in all of the Principal’s behaviors, actions, and policies and procedures.

Allergy and immunology experts may consult on issues involving asthma, allergic reactions, indoor environment, and drug allergies, among other topics. On his website allergy expert witness Dr. Ronald H. Saff, Assistant Clinical Professor of Medicine at the Florida State University College of Medicine in Tallahassee and principal at the Allergy & Asthma Diagnostic Treatment Center, answers questions on allergy skin tests:

How are skin tests done?

There are several different types of allergy tests. Most allergy skin tests are “scratch tests” – the skin is scratched with a small plastic “pick” which has a drop of the specific allergen on the end. It is irritating and can burn and or itch; it is not painful. Scratch tests do not involve needles or blood. The scratching may take only seconds or take a couple of minutes depending on what you are being tested for. Once the scratching is done we wait 15-20 minutes and then read the results. A positive reaction usually looks and feels like a mosquito bite. Sometimes scratch skin tests are followed by intradermal tests. These are not always necessary and depend on what is being tested. If necessary a tiny amount of allergen is injected into the skin with a very small needle. It is not like a typical “shot”. This too may itch or burn. One benefit of skin tests such as these is that the results are known before you leave the office.

In Unnecessary / Excessive Use of Force – A Working Definition, police use of force expert witness Richard Lichten (Lt. Retired) writes:

I am often asked to explain to people who are not police officers or lawyers the definition of unnecessary and excessive use of force. First, it is important to understand just what a use of force is. While many law enforcement agencies have their own definition, I have found that the simplest explanation is this: A use of force is an intentional act by a police officer who knows, or should know, may cause pain and/or injury to someone for the lawful purpose of controlling their actions.

A police officer may use force when it is lawfully necessary to control the actions of another person. That force must be reasonable, justified, and within policy. When you hear the term “reasonable” used in this context, reasonableness refers to what a reasonable officer would do. A reasonable officer is basically defined as a typical officer, who in a similar situation will react in a similar fashion.

In Failure to Supervise: An Inside Perspective, securities expert witness Alan Besnoff, Securities Expert Witness & Litigation Support, LLC, writes:

This article will examine the variety of steps and actions that can and should be taken by a firms’ Supervising Principal to assure that the proper degree of supervision of brokers is being performed.

Let’s begin with a quick review of why it is that in so many circumstances, supervisory responsibilities are not fully being met.

In Event Data Recorders: Proper Evidence Collection in Criminal, Insurance and Tort Liability Investigations, accident reconstruction expert witness Shawn Gyorke, Crash Data Services, LLC, writes:

Over the last several years, the landscape of traffic accident reconstruction and insurance claims investigations has changed dramatically at the hands of technological advances such as event data recorders (vehicle black box technology). This technology has been challenged on numerous occasions and generally been found to be reliable and admissible under both Frye and Daubert paradigms.

The requirement for law enforcement and private insurers to collect and consider this type of evidence in their investigations has not been clearly defined. Law enforcement, insurance investigators and litigators may need to heighten their efforts in the preservation of this critical evidence A failure to properly memorialize this evidence may ultimately result in evidence spoliation claims by criminal defendants, as well as claims of bad faith by parties involved in civil litigation.

Trucking expert witnesses may consult on the trucking industry, trucking and transportation rules and regulations, as well as highways and transportation projects. In the news, Transport Topics writes that “Transportation Secretary Anthony Foxx sent Congress a four-year transportation bill that relies on business tax reforms as a way to boost funds for a federal highway account that is quickly running out of money.”

USAToday writes that “States and local governments stand to lose $46.8 billion in federal funding for transportation and transit projects next year if Congress doesn’t put more money into the Highway Trust Fund and it slides into insolvency, according to a new report.” The Transporation for America report states:

Unless Congress adds new revenue to the nation’s transportation trust fund, the federal government will be unable to commit to funding any new transportation projects, depriving states and localities of resources critical to maintaining and improving the infrastructure that makes our economy possible.

In Abnormal Sleep Behavior and the Legal Profession, forensic sleep medicine expert witness John Penek, MD, FCCP, FAASM, writes on Forensic Sleep Medicine – REM Sleep Behavior Disorder.

Things that go bump in the night……and the parasomnias.

Background The American Sleep Disorder Association has now identified more than 80 distinct sleep disorders occurring in children and adults in all age groups. These are a diverse group of disorders that may cause excessive daytime sleepiness, difficulty with sleep maintenance such as insomnias and abnormal sleep behavior, termed parasomnias. The parasomnias are a group of sleep disorders that result in abnormal and often socially unacceptable behavior during sleep or associated with partial or incomplete arousals from sleep. These include nightmares and night terrors, somnambulism (sleep walking), confusion arousals, sleep paralysis, REM sleep behavior disorder and the now well-documented incidence of sexsomnia (abnormal sexual behavior during sleep) that has resulted in charges of rape and child molestation. Other disorders such as narcolepsy and idiopathic hypersomnia may result in sleep at inappropriate times, which may cause accidents and even death.

Security management expert witness Randy Atlas, Phd, AIA, CPP, contributed to the article The Role of Buildings in Mass Shootings, Strategies to decrease workplace homicides which appeared in Buildings Magazine. The expert is president of Atlas Safety & Security Design Inc. and notes that “It’s a big deal for an architectural magazine to focus on the problems of building security.” The article is written by Jennie Morton, senior editor of BUILDINGS.

STRENGTHEN ACCESS CONTROL

Beyond physical deterrents, it’s often the human side of security that can make the most difference in an active shooter situation, notes Grollnek.