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Michael Noesen

J.S. Held’s Inaugural Global Risk Report Examines Potential Business Risks & Opportunities in 2024

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Prior to joining J.S. Held, Mike served as a Senior Litigation Analyst at Capital Forensics, Inc. As a Litigation Analyst, Mike participated in an in-depth examination of, among other information, account turnover, out-of-pocket gains/(losses), profit and loss and commissions, to address various issues of each case.

In his role as a Senior Consultant, Mike is now responsible for supervising and analyzing cases from the time they are received through case resolution. He has prepared supporting analysis for dispute resolution, forensic analyses, and damage assessments in Broker-Dealer and Investment Advisory litigation cases. Mike has also worked closely with Counsel on Mock Arbitrations in preparation for each case to be heard.

As a Senior Consultant at J.S. Held, Mike consults in damage assessment and forensic analyses in litigation matters, dispute resolution, and internal investigations. Mike is responsible for supervision of assigned cases; from oversight of account reconstruction through drafting of final reports and supporting analysis to be used at arbitration or settlement proceedings. Mike provides consultation on a number of cases relating to issues including, but not limited to: suitability, concentration, churning, elder abuse, theft, portfolio margin and margin calls. Key matters include, but are not limited to: over-concentration in new issue equity-linked securities in elder customer’s portfolio, review of financial advisor’s book of business to identify potential damages relating to theft, targeted churning of equities conducted in conservative portfolio of Vulnerable Adult due to FA’s personal financial struggles, portfolio margin calls resulting from Reddit stock volatility.

Mike is also part of a team that is responsible for administering the Broker Protocol.

Key Expertise

  • Securities Litigation
  • Dispute Resolution
  • Fraud Investigations
  • Damage Assessment & Evaluation
  • Regulatory & Internal Investigations
  • Data Analytics
  • Mock Arbitration