Investment, Sales, Finance, Risk Expert #000F2E

Owner and Founder, Southwestern US

I have 41 years of experience, and specialize in the field of investment brokerage with specific knowledge in the areas of securities supervision and sales, investments and annuities. I have published on such topics as variable annuities, fixed equity index annuities and junk bonds. I have testified 30 times on topics such as suitability and supervision, breach of fiduciary duty and due diligence and the standard of care.

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  Securitization, Banking Expert #001661

President and Founder, Mid-Atlantic US

I have 40 years of experience, and specialize in the field of securitization with specific knowledge in the areas of mortgages, collateralized debt obligations (CDOs) and credit default swaps. I have published on such topics as CDOs and credit default swaps, home mortgage securitization and banking. I have testified 13 times on topics such as securitization, home mortgages and real estate finance. Two of my clients secured a total of $100 million in settlements.

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  Securities Regulation Expert #21CC2E

Shareholder, Southeastern US

I have 40 years of experience, and specialize in the field of securities prosecution and defense with specific knowledge in the areas of Securities and Exchange Commission(SEC), Financial Industry Regulatory Authority (FINRA) and internal investigations. I have published on such topics as securities litigation, securities regulation and arbitration. I have testified 15 times on topics such as definitions of securities, adequacy of supervision and churning and suitability issues.

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  Fixed Income Securities Expert #021ABB

Northeastern US

I have 40 years of experience and specialize in the field of US capital markets, with specific knowledge of fixed income securities, mortgage-backed securities and equities. I have published on such topics as US capital markets, mortgage-backed securities and portfolio strategy. I have testified 15 times on topics such as fixed income securities, mark-ups and mark-downs, and mortgage-backed securities.

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  Securities Expert #219CAA

Principal, Southeastern US

I have 40 years of experience in the field of securities, with specific knowledge in the areas of rules and regulations and broker supervisory issues. I have testified 20 times on topics such as brokerage supervisory manuals, registered representaive supervisory procedures, suitability issues, and recommendaton of settlements. My experience of 40 years on Wall Street prepared me to not only testify for both claimants and respondents but to mediate protracted litigation.

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  Municipal Securities Law Expert #0012A1

President, Southwestern US

I have 40 years of experience, and specialize in the field of municipal bands and municipal securities law and municipal disclosure, roles and responsibilities of parties, investigations and due diligence, and fiduciary duty with specific knowledge in the areas of due diligence and disclosure relating to municipal bonds and other municipal securities, municipal securities law and disclosure, roles and responsibilities of parties, investigations and due diligence and fiduciary duty and roles and responsibilities of parties. I have published on such topics as due diligence and disclosure relating to municipal bonds and other municipal securities, roles and responsibilities of parties, municipal issuers, underwriters, and financial advisors and fiduciary duties. I have testified 75 times on topics such as due diligence and disclosure relating to municipal bonds and other municipal securities, roles and responsibilities of parties, municipal issuers, underwriters, counsel, trustees and financial advisors and fiduciary duties. I am an author of seminal publications on municipal securities law and fiduciary duties in the municipal securities market, have been active as a principal drafter of recognized guidance on municipal bonds disclosure, and am able to communicate financial concepts to legal professionals.

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  Compliance, Churing, Raiding Expert #21CAD1

Principal, Northeastern US

I have 37 years of experience, and specialize in the field of securities industry practices with specific knowledge in the areas of sales practices, compliance and supervision. I have published on such topics as auction rate securities, limited partnerships, suitability and the applicability of equity in securities arbitration. I have testified 99 times on topics such as supervison and suitability.

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  Registration, Exemptions Expert #216AB3

Professor, Southeastern US

I have 35 years of experience in the field of securities law, with specific knowledge of registration exemptions, disclosure obligations, and liability standards. I have published on such topics as registration exemptions, the business judgment doctrine, and disclosure standards. I have testified 15 times on topics such as securities exemptions, disclosure requirements, and fiduciary duties.

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  Fraud, Churning, Wells Letter Expert #223610

Consultant, Northeastern US

I have 35 years of experience, and specialize in the field of brokerage law and compliance with specific knowledge in the areas of securities law, commodities law and anti money laundering. I have testified 40 times on topics such as compliance policy, supervision, suitability, brokerage fraud, futures transactions and employee activity.

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  Venture Capital, Real Estate Expert #025D50

President, Midwestern US

I have 34 years of experience, and specialize in the field of securities and general corporate law with specific knowledge in the areas of securities registration exemptions, business and entity planning and corporate democracy. I have published on such topics as securities exemption planning, limited liability companies and group investing and entity planning, generally. I have testified 10 times on topics such as legal malpractice in connection with lawyers taking personal interests in client businesses, structuring of joint ventures and investment entities and other investment entity issues.

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  Investment, Malpractice, Fraud Expert #22BA55

Of Counsel, Southwestern US

I have 32 years of experience, and specialize in the field of federal and state securities and commodities law, regulation, compliance and enforcement with specific knowledge in the areas of investment fraud, industry compliance and regulation. I have published on such topics as Dodd-Frank, the Model State Commodity Code and Sarbanes-Oxley. I have testified 50 times on topics such as identification of investment contracts and notes, materiality and investment fraud in general.

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  Stocks, Investments, Bonds Expert #00159A

President, Southwestern US

I have 31 years of experience, and specialize in the field of securities fraud with specific knowledge in the areas of investments, stock markets and securities laws. I have published on such topics as securities regulations, securities arbitration and investors rights. I have testified 99 times on topics such as investments, portfolio management and stock brokers. It is said, that I have been the expert witness in more cases where the claimant was awarded punitive damages than any other expert.

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  Securities, Finance, Valuation Expert #035EE3

Senior Vice President, Mid-Atlantic US

I have 30 years of experience, and specialize in the field of securities and finance with specific knowledge in the areas of securities fraud, insider trading and derivative securities. I have published on such topics as insider trading, securities market structure and options. I have testified 12 times on topics such as securities fraud, insider trading and damages.

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  Securities, Investments Expert #01E971

President, Northeastern US

I have 30 years of experience, and specialize in the field of securities and financial markets with specific knowledge in the areas of hedge funds, mortgage backed securities and foreign exchange. I have published on such topics as hedge funds, risk management and foreign exchange. I have testified 20 times on topics such as hedge fund due diligence, foreign exchange and mortgage backed securities. I have spent 30 years in the financial markets as both a practitioner (having managed multi-billion dollar trading and investment portfolios; hedge funds and fund of funds) as well as an academic and expert witness.

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  Compliance, Suitability Expert #22A18D

Principal, Southwestern US

I have 27 years of experience, and specialize in the field of securities regulation with specific knowledge in the areas of compliance, suitability and surveillance. I have published on such topics as market structure and insurance regulation. I have testified on terminating a representative.

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  Investment, Finance, Securities Expert #028C2F

Managing Director, Mid-Atlantic US

I have 27 years of experience, and specialize in the field of regulatory compliance for securities firms with specific knowledge in the areas of Securities and Exchange Commission and the Financial Industry Regulatory Authority compliance programs, regulatory examinations and investigative litigation support. I have published on such topics as Securities and Exchange Commission independent consultant reports, expert witness reports and declarations and affidavits. I have testified on Securities and Exchange Commission and the Financial Industry Regulatory Authority supervision, mutual funds and wrongful termination, supervision and suitability.

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  Derivatives, Systems, Trading Expert #22C32A

President and Chief Executive Officer, Northeastern US

I have 25 years of experience, and specialize in the field of capital markets and derivatives with specific knowledge in the areas of order management, trading, clearance and settlement. I have published on such topics as algorithmic trading, business continuity management and convergence of listed and over the counter derivatives. I have testified on financial technology Intellectual property. As a management consultant, I helped to launch one of the most successful inter-dealer brokers in a record time of six months.

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  Broker Dealer Supervision Expert #223CFF

Chief Compliance Officer & Director of Operations, Southeastern US

I have 23 years of experience, and specialize in the field of securities compliance and operations with specific knowledge in the areas of broker dealer and investment adviser hedge fund compliance, operations and risk management. I have testified 99 times on topics such as suitability, supervision, rule interpretations and liability.

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  Bonds, Compliance, Annuities Expert #200B82

Financial Consultant, Southwestern US

I have 21 years of experience in the field of financial, with specific knowledge in the areas of securities, compliance and branch management. I have published on such topics as socially responsible investing. I have testified 10 times on topics such as churning, suitability and compliance.

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  Investments Expert #0146AD

Professor, Southwestern US

I have 20 years of experience in the field of investments, with specific knowledge of hedge funds, stock selection, portfolio management, and option investment strategies. I have published on such topics as option investment strategies, hedged investment strategies, and damages calculation methodologies. I have testified on damages due to portfolio losses, management of an options arbitrage portfolio, and standards of care.

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