Forensic Analytics, LLC

FA Principal

Thomas C. Grzymala – CFP® AIFA®

Thomas Grzymala is a nationally recognized Certified Financial Planner™ licensee and wealth manager. He is a Principal of Forensic Analytics LLC, a firm providing litigation support to attorneys throughout the country. His clients call upon him to provide insight and expertise for their most challenging securities investigations, litigation, arbitration and mediation. His education and extensive investment management experience enable him to bring broad capabilities to all phases of the investigative and litigation process – assisting counsel in the earliest stages of forensic investigation, fact-finding and issue development. He offers financial, economic and damage analysis supporting settlement negotiations, and provides experienced expert testimony. Mr. Grzymala has the knowledge and experience to explain complex securities concepts to a judge, jury or arbitration panel in simple, under-standable terms. He has testified in federal and municipality courtrooms as well as arbitration hearings and has been deposed numerous times. Mr. Grzymala has experience in cases involving unsuitability, investment losses, breach of contract, breach of fiduciary responsibility, hedge funds, fraud, employment of deceptive schemes (Ponzi), negligence, misrepresentation, inadequate supervision, and trust and estate matters involving beneficiaries against trustees, inter alia.

Earlier, Mr. Grzymala was the founder and a Principal of Alexandria Financial Associates (AFA), a U.S. Securities and Exchange Commission-registered financial planning and wealth management company founded in 1987. In 2004, having sold his wealth man-agement firm, with approximately 165 portfolio management clients and $90 million under management, he created Forensic Analytics LLC, a company which provides the litigation support services described earlier.

Mr. Grzymala is a graduate of the College for Financial Planning, Denver, Colorado where he completed the Certified Financial Planner™ professional education program; he is so licensed. Mr. Grzymala has earned the AIFA® designation indicating accreditation to conduct Investment Fiduciary Analyses following completion of coursework at the Center for Fiduciary Studies at the University of Pittsburgh Katz Graduate School of Business.

He became an SEC Registered Investment Advisor in 1987. Mr. Grzymala is a member of the Financial Planning Association (FPA) and a former member of the National Association of Personal Financial Advisors (NAPFA), the national organization of fee-only financial advisors.

He has served twice as a member of the Disciplinary and Ethics Commission of the Certified Financial Planner Board of Standards, a professional regulatory organization acting in the public interest by fostering professional standards in personal financial planning, reviewing disciplinary cases of CFP® registrants. The Commission is charged with enforcing the CFP® Board’s Standards of Professional Conduct. Mr. Grzymala has also served on NAPFA’s National Board of Directors as the Vice President of Public Awareness. He is a member of the Securities Expert Witness Roundtable, an organization of expert witnesses who provide consulting, expert testimonial, or other services in securities dispute resolution and related matters.

Medical Economics selected Mr. Grzymala as one of America’s “120 Best Financial Ad-visors for Doctors” in July, 1998 and again in 2000. His biography of record has appeared in Who’s Who in Finance and Industry. In 1994 and 1999 Washingtonian magazine selected Mr. Grzymala as one of “metropolitan Washington’s foremost money managers”. In 2002 Washingtonian selected him as one of the top 35 financial planners in the Metro DC area. Bloomberg, one of the nation’s foremost financial services companies, selected Alexandria Financial Associates, Ltd. as one of America’s top wealth managers in 2001, 2002 and 2003.

Mr. Grzymala’s advice and counsel have been quoted in numerous publications including the Washington Post, Wall Street Journal, Business Week, Los Angeles Times, Consumer Reports and the New York Times and he has frequently appeared on television business news shows, most recently nationally in discussing Social Security privatization on Nightly Business Report and, in May 2005, discussing the SEC Merrill Lynch Rule on the “Closing Bell” show on CNBC.

He has given financial planning and wealth management presentations at numerous confe-rences and meetings hosted by various professional associations. Additionally, he has been an adjunct professor of finance at Florida Institute of Technology, teaching the investments and portfolio management module of the CFP® Program. He presented “Fiduciary Responsibility” at one of NAPFA’s Annual Conferences and “All the Troubling, New Regulatory Mandates for RIAs” at a NAPFA South Region Conference. Mr. Grzymala was a member of the Financial Planning Association Task Force which created “Best Practices for Fiduciary Advisors”, a handbook addressing the financial services industry’s conformance with the Pension Protection Act of 2006 (PPA). Mr. Grzymala and two attorneys presented “Fiduciary Responsibility & PPA 2006” at one of the Mid-Florida FPA Symposiums and he and two colleagues presented “To Be or Not To Be – An Expert Witness” at an fi360 Annual Conference. He was recently interviewed on NPR’s "Good Morning West Marin" [KWMR (90.5)] about Ponzi schemes post-Bernie Madoff and individual investor due diligence. He is currently teaching the “Investment Asset Allocation in Uncertain Times” course for the Osher Lifelong Learning Institute at the University of Virginia.

Mr. Grzymala is a graduate of the U.S. Naval Academy (Bachelor of Science) and The American University (Master of Public Administration). He completed a twenty-year career in the U.S. Navy, retiring as a Commander.

Among the comments offered on Mr. Grzymala’s performance are the following:

“I have had the pleasure of working with Tom on a matter over the last several years. The case he assisted on involved complex issues growing out of corporate financial planning and the suitability of variable life insurance products. Tom was a quick study, fully conversant with the issues presented and he was able to present those issues in terms understandable to lay persons . He was very responsive and his valuable assistance helped us to achieve a favorable outcome for our client. I look forward to work with him again in the future.”
Top qualities: Great Results, Personable, Expert

James Weller, Esq. - hired Tom as a Securities Expert in 2007

“Tom is a skilled professional and recognized expert on financial and fiduciary matters. He not only demonstrates a high standard of professional excellence, he shares his knowledge with others in the field. His expertise, coupled with excellent communications skills and a desire to assure competent and ethical services for investors, make him well qualified to serve as an expert witness or provide consulting or educational services.”

Blaine Aikin, AIFA, CFA, CFP®, President and CEO, Fiduciary360

“I have known Tom for over 15 years. He has been a mentor and friend who has been very supportive through the years in helping us with many aspects of our business. He is of the highest ethics and has a true passion and knowledge of the investment and financial planning fields. I strongly recommend Tom especially if one needs an expert witness to review or testify on wealth management cases (his current line of work).”

Herbert Hopwood, CFP, CFA , President, Hopwood Financial Services

“I highly recommend Tom's expert witness testimony. He is very involved in research and materials on being a fiduciary. He has made presentations to my FPA Chapter. I still use one of his slides in my material to explain the difference between a Broker and a Registered Investment Advisor.”

Cary Carbonaro , President, Family Financial Research

Additional information regarding specific case information experience will be pro-vided upon request (tom@fa-llc.net).