ArbitrationIQ

Teresa Verges

Teresa Verges is a securities law expert witness and consultant with more than 30 years of legal experience in SEC enforcement, broker-dealer and investment adviser regulation, FINRA conduct rules and arbitration, and investor protection. She brings to her engagements the perspective of both an enforcement lawyer who litigated these cases and a law professor who has taught the rules that govern them.

Ms. Verges spent nearly 17 years at the Securities and Exchange Commission’s Miami Regional Office, most recently as Regional Trial Counsel, where she led the trial unit handling all federal court litigation and administrative proceedings arising out of the office’s enforcement matters. She previously served as Assistant Director, leading investigative teams on some of the most significant enforcement matters brought by the Commission, and received awards and recognition for her work. She retired from the Commission in February 2026.

Ms. Verges founded the Investor Rights Clinic at the University of Miami School of Law, which represents low-income investors in FINRA arbitration, and served as clinical professor and director of the Clinic from 2011 through 2021. She taught a stand-alone course on broker-dealer regulation, covering the conduct standards governing brokers and their firms, and taught the substantive law of securities arbitration and professional responsibility while supervising student interns in all aspects of client representation. She recently returned to the Miami Law faculty as a Lecturer.

Ms. Verges has published articles and participated on panels addressing senior financial exploitation, the regulation of financial intermediaries, and ethical issues in securities litigation and arbitration. She served on FINRA’s National Arbitration and Mediation Committee (2014–2018) and FINRA’s Discovery Task Force (2018–2021). She consults and testifies on standards of conduct for brokers and investment advisers, suitability and Regulation Best Interest, supervision and failure to supervise, investment adviser fiduciary duty, and senior and vulnerable investor protection.