FacultyFaculty/Author Profile

Henry R. Ferguson

HRFerguson Financial Consultants LLC

Ridgewood, NJ, USA

Henry R. Ferguson, HRFerguson Financial Consultants LLC., has provided consultation to broker-dealers  other  financial institutions, law firms, investors, and regulators in areas of litigation, compliance, sales and product knowledge for over 29 years. His expertise includes debt and equity securities, futures, options, and other derivatives, alternative investments, anti-money laundering, and many others.

Mr. Ferguson has consulted and testified in most arbitration forums, Federal and State Court, in regulatory proceedings including the SEC, CFTC, NYSE, and FINRA. Mr. Ferguson has provided consultation in mediations, and is an arbitrator for both FINRA and NFA. He has completed mediation training and is a member of SIFMA and ACAMS. He has also taught a number of financial courses.

Prior to consulting, Mr. Ferguson held several positions on Wall Street including NYFE, Oppenheimer & Co., Blythe Eastman Dillon & Co., Dean Witter & Co. and Sutro & Co. He holds a B.S. in Business from California State University, Hayward California.


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