John C. Crittenden, III

John Crittenden specializes in advising financial services firms at the confluence of securities business and securities regulations helping them to navigate the securities rules and provide guidance to establish, develop and maintain compliant control and risk environments. His experience includes serving in permanent and interim executive roles, including Chief Executive Officer (“CEO”), CCO and COO at retail and high net worth wealth management firms, insurance and institutional securities firms. He has industry expertise in insurance and financial institutions.

Mr. Crittenden’s expertise includes review, analysis, investigations, adequacy assessments, and mock inspections and examinations of financial services firms. He selectively undertakes expert testimony and consulting expert roles for law firms and financial services clients. And is retained by counsel to assist clients in developing the sales, compliance and supervisory infrastructure of financial services firms. Mr. Crittenden has been hired in numerous matters as compliance and litigation consultant for Finance Industry Regulatory Authority (“FINRA”) and New York Stock Exchange (“NYSE”) arbitrations and court matters. He has been selected as the independent consultant pursuant to Securities and Exchange Commission (“SEC”) enforcement matters.

Mr. Crittenden’s significant engagements include being hired by the SEC Office of Inspector General to investigate the failure of the SEC Office of Compliance Inspections and Exams (“OCIE”) to uncover the Madoff Ponzi scheme. He also was hired by ownership as CEO/CCO of Surge Trading (formerly Madoff Securities) to monitor and eventually wind down and liquidate the firm. In a related matter, he also was hired as an industry expert in FINRA arbitration regarding the failure of a brokerage to fulfill disclosure, supervisory, suitability and diligence in sales of Madoff feeder funds.

In addition, Mr. Crittenden was hired by counsel and elected by shareholders as replacement Director and RIA for the two failed Bear Stearns hedge funds. He reconciled and recommended action on the Trustee’s Allocation Motion for Lehman Brothers (debtor) Rule 15c3-3 reserve calculation in one of the largest bankruptcy cases involving an investment bank. Mr. Crittenden served as an independent expert consultant supporting Wachovia Securities as a result of an NYSE Order pertaining to review of revised written supervisory policies and procedures and electronic communications retention, review and production. He also has been retained as an investment banker to acquire the banking institution for a sovereign nation.

Prior to joining FTI Consulting, Mr. Crittenden was the President and CCO for Marsh & McLennan’s SEC Registered Investment Advisor and MMC Securities FINRA registered broker dealer subsidiary. Earlier in his career, Mr. Crittenden was the SVP Head of Retail Investment channel at Riggs National Bank of Washington and widely known for creating and implementing highly productive turnaround strategies for wealth management divisions within several other D.C. area financial institutions.