Nationwide Trust Administration Litigation Consultant & Expert Witness

Welcome to John Rodgers & Associates. We provide litigation consulting and expert witness services for both plaintiffs and defendants dealing with trust issues, trust mismanagement and beneficiary rights.

With experience working with over 50 law firms in 19 states, firm principal John Rodgers, is qualified to assess fiduciary matters from both sides of a case. Mr. Rodgers holds securities licenses from the National Association of Securities Dealers (FINRA), Series 7 (General Securities), Series 24 (Registered Principal, Office Supervisory Jurisdiction) and Series 63. He is also a member of the Illinois Bar and the North Carolina Bar Association’s Estate Planning and Fiduciary Law Section.

If you need assistance resolving issues that arise in the administration of personal trusts and estates where the beneficiaries and the trustee disagree on a course of action, contact John Rodgers & Associates.

Litigation Consulting

If you are representing current income beneficiaries, remainder beneficiaries, or individual or bank trustees, we can provide assistance with:

  • Violations of SEC, AIMR, ERISA and UPIA regulations
  • Investment portfolio modeling
  • Fiduciary responsibility
  • Compensatory and opportunity lost determination
  • Suitability issues

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Expert Witness

We provide expert witness services for cases involving trusts, estates, and investment management issues.

  • Pre-litigation case evaluation
  • Litigation support for evaluation after litigation is commenced including working with counsel as to legal arguments, interrogatories, depositions, discovery, pre-trial preparation, advice during trial and expert report
  • Serving as expert witness during trial

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We provide investment management and fiduciary litigation expert witness and consulting services for both plaintiffs and defendants dealing with trust issues, trust mismanagement and beneficiary rights. Quite often issues arise in the administration of personal trusts and estates where the beneficiaries and the trustee disagree on a course of action.

If you are representing current income beneficiaries, remainder beneficiaries, or individual or bank trustees, Mr. Rodgers can provide assistance in:

  • Investment Portfolio Modeling
  • Fiduciary Responsibility
  • Compensatory and Opportunity Lost Determination
  • Suitability Issues

Qualifications & Expertise:

  • 35+ years of management experience in trust and investment management services.
  • Graduate: University of Virginia School of Law, and Cornell University.
  • Have advised both sides - bank and individual trustees and income and remainder beneficiaries.
  • Hold securities licenses from the National Association of Securities Dealers (FINRA): Series 7 (General ecurities), Series 24 (Registered Principal, Office of Supervisory Jurisdiction), and Series 63.
  • Managed the Trust Division of a major regional bank for 6 years.
  • Member: Illinois Bar and North Carolina Bar Association Estate Planning & Fiduciary Law Section, as well as the Charlotte Estate Planning Council.
  • Available for consultation and/or travel on short notice.
  • Discounts for multiple retainer relationships.
  • Appeared in state courts and Federal court pursuant to Federal Rules of Civil Procedure Section 26(b) (4) and Federal Rules of Evidence Section 702.
Areas of expertise:

  • Estate planning
  • Probate Estates
  • Transfer of Assets at Death Without Probate or Living Trust
  • Trusts
  • Living Trusts
  • Irrevocable Trusts
  • Testamentary Trusts
  • Charitable Remainder Trusts
  • Conservatorships
  • Guardianships
  • Taxation
  • Estate Taxes
  • Gift Taxes
  • Estate & Trust Fiduciary Taxes
  • Individual Retirement Account
  • Banking Operations & Administration

In administering a trust a trustee is bound by internal policies and procedures adopted by management, federal and state regulatory compliance policies, concerns about fraud and various common law principles.

Recent Cases Include:

  • Advised plaintiff current income beneficiary versus large state bank trustee defendant
  • Advised plaintiff remainder beneficiaries versus large state bank trustee defendant
  • Advised current income and remainder beneficiaries versus a large national bank trustee defendant
  • Advised a large national bank defendant trustee of a split interest trust versus remainder beneficiaries as plaintiffs
  • Advised minor beneficiary of a Uniform Gift To Minors Act account
With the increasing frequency of bank mergers, many traditional regulatory compliance and fiduciary operational procedures have not been adhered to in the administration of personal and employee benefit trust accounts. Larger corporate fiduciaries often use their proprietary in-house mutual funds as investment vehicles for trusts they are administering. This often produces inferior investment performance, lack of disclosure, high turnover ratios generating excessive capital gains distributions, conflicts of interest and "double dipping" in trust and investment management fees.

The recent adoption by many states of the Prudent Investor Rule, contained in the Uniform Prudent Investor Act, gives the trustee additional flexibility in selecting trust investments under the Modern Portfolio Theory, versus the old Prudent Person Rule. This flexibility, however, imposes many new requirements on the trustee.