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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 ]

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...

  • May 29, 2026
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Keith Loveland, Providing Tutoring
Keith Alden Loveland

Providing Tutoring

• My service as a teacher spans many years and many subjects. I was Adjunct Professor for ten years at William Mitchell College of Law. I taught Philosophy of Law and Jurisprudence for two years at Hamline University.

• I have taught cybersecurity and privacy law, insurance law, securities law, portfolio construction, and fiduciary practices for many years. I routinely am asked to provide tutoring for persons seeking...

  • Nay 27, 2026
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Interactive Ethics Workshop featuring Keith Loveland
INTERACTIVE ETHICS WORKSHOP

A Continuing Education Course for Minnesota IARs

When:
07.07.2026
9:00am - 4:00pm CT

Where:
Assemble Conference Room (First Floor)
1601 Utica Ave S
Minneapolis, MN 55416

  • May 22, 2026
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Keith Loveland, Nationally Recognized Attorney
Keith Loveland

Nationally Recognized Attorney

Keith Alden Loveland is a nationally recognized attorney, author, consultant and teacher within the financial services profession. He is a subject matter expert to the North American Securities Administrators' Association [NASAA]; he previously served as a subject matter expert to the New York Stock Exchange [NYSE] Qualification Committee.

Mr. Loveland graduated from the University of Minnesota, Duluth, earning a BA with dual majors in Philosophy and Pre-Law. Later he received a Juris Doctor from William Mitchell College of Law. He continued...

  • May 20, 2026
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Resources Investmen Advisers Minnesota
Investment Advisers

Resources for Investment Advisers in Minnesota

Resources for Investment Advisers on the Minnesota Department of Commerce Securities Unit website are Excellent.
Section 1: ADVERTISING AND MARKETING,
A. Relevant Law,
B. Misleading and/or Unsupported Statements, and
C. SEC Marketing Rule updates 206(4)-1.
...

  • May 18, 2026
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Video by Keith Loveland
VIDEO

Enterprise Wide Risk Assessment

• IN THIS VIDEO KEITH LOVELAND TALKS ABOUT: Enterprise Wide Risk Assessments, Anti-Money Laundering Audits, Creation of Regulation S-P Privacy Programs, Cybersecurity Policies and Procedures, Disaster Recovery Plans, and Fiduciary Assessments.

"My clients often begin with an Enterprise Wide Risk Assessment. The facts we discover..."

  • May 14, 2026
Watch Video

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.
  • Serves as a qualified neutral under Rule 114 of the General Rules of Practice.

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