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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, 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...

  • Jun 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.
...

  • Jun 17, 2026
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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)

  • Jun 16, 2026
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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...

  • Jun 12, 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...

  • Jun 10, 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

  • Jun 06, 2026
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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