Home
Keith Loveland

Welcome

Loveland Consulting

Let's begin with Why. I believe Americans need good financial advice if they are to gain a measure of financial security. I further believe I can best serve Americans - indirectly - through serving the financial services professionals who directly serve them.

My passion to serve has been demonstrated throughout the decades as an attorney, author, consultant, teacher, and expert witness. During my years within the financial world, I've observed how critical it is to know the subject matter and be a trustworthy resource.

The financial services sector is not simple. Never has been. Never will be. It is a VUCA world: Volatile, Uncertain, Complex, and Ambiguous. Successful client outcomes are rarely guaranteed and never predicted perfectly by gazing at a crystal ball.

Investment themes may come and go. Markets gyrate. Investment Managers are Hot, or Not. The world of investing may be defined as a complex web of legal, regulatory, fiduciary, and ethical demands.

News

Visit our website often for the latest news focusing on cybersecurity, privacy law, insurance law, securities law, portfolio construction, fiduciary practices and more.
[ News Archive ]

Inside Courtroom
EDUCATION / EXPERIENCE

Keith Loveland

• BA in Pre-Law & Philosophy from the University of Minnesota, Duluth, and a Juris Doctor from William Mitchell College of Law
• Admitted to law practice in Minnesota, and also admitted to Federal District Court and Court of Appeals practice
• Continuing education has included studies at Harvard University Law School, receiving a Certificate in Securities Regulation
• Graduated as Valedictorian from the Katz Graduate School, University of Pittsburgh ...

  • Jul 15, 2026
Read More
Keith Loveland Mediation Services
Mediation Services

What is Mediation?

• Mediation is an informal, voluntary process in which the mediator facilitates negotiations between disputing parties, helping them to find their own mutually acceptable resolution. What distinguishes mediation from other forms of dispute resolution is that the mediator does not impose the solution, but rather, helps make it possible for the parties to craft and accept the solution themselves.

• Mediation provides public customers, member firms of various securities organizations, independent small and large investment firms, and associated persons with an effective way to resolve their disputes ...

  • Jul 12, 2026
Read More
Financial Services Industry
INDUSTRY INVOLVEMENT

Financial Services

• Member of Financial Planning Association of Minnesota since 1983
• Subject Matter Expert, Series 63/65/66 revisions, North American Securities Administrators' Association (NASAA)
• Arbitrator for National Futures Association and American Arbitration Association
• American Bar Association, Business Law Section, Committee on Federal Regulation of Securities, and Committee on State Regulation of Securities
• Member and Director, Securities Experts' Roundtable (SER)

  • Jul 10, 2026
Read More
Keith Loveland, Expert Witness
Loveland Consulting

Expert Witness

• As an Expert Witness, I help an arbitrator or jury understand the complex issues upon which a decision must be based in securities cases. I can provide persuasive testimony on standard industry practices; pertinent securities regulations and the methods used to calculate and analyze damages.

• I have assisted claimants and respondents equally, including service for the U.S. Department of Labor in ERISA Federal Court litigation and the U.S. Securities and Exchange Commission...

  • Jul 06, 2026
Read More
Keith Loveland, Analyze Relevant Financial Information
Securities Case

Case Design and Support

When a firm needs behind-the-scenes support to build or defend a securities case, I can:
• Document the evidence that a firm has followed a prudent process, thereby minimizing the risk of litigation
• Assist counsel in development of court filings, interrogatories, and document requests...

  • Jul 05, 2026
Read More
Keith Alden Loveland Recognition
Keith Loveland

Recognition

2005
• Inaugural recipient of the Outstanding Contribution Award from the Financial Planning Association of Minnesota. In making this award, the FPA of Minnesota cited: Steadfast Support of the FPA Core Values, Development of Code of Ethics Courses, Advancement of the FPA Community, and Knowledge, Energy and Wisdom.
2010
• Recipient of the prestigious Heart of Financial Planning Award, presented by the national Financial Planning Association...

  • Jul 02, 2026
Read More

Specialty

Keith Loveland Consulting

For most of my professional life, I have specialized in helping investment professionals and their firms do things the right way. Specifically, Keith Loveland Consulting:

  • Conducts independent FINRA Rule 3120 “test-and-verify” audits for broker-dealers.
  • Conducts independent Anti-Money Laundering audits for broker-dealers and investment advisers.
  • Consults on current and proposed legal and compliance obligations, including providing specific guidance as to establishment of appropriate supervisory controls.
  • Prepares and presents training on Prudent Practices for Fiduciaries.
  • Provides enforcement defense in regulatory and industry venues.
  • Serves as a consulting expert in arbitration and litigation forums, federal and state.

Providing Support

"I have assisted both claimants and respondents in providing behind-the-scenes support as well as on-the-stand expert testimony."

  • CONTACT

    500 Wells Fargo Plaza
    7900 Xerxes Avenue South
    Minneapolis, MN 55431

  • Office Hours

    Mon - Fri 9:00 - 05:00
    Saturday 10:00 - 03:00

  • Phone

    Phone: 952-746-1106
    Cell: 612-961-6019

  • Email

    kloveland@cap-mgt.com
Loveland Consulting