Securities Expert Witnesses

  Municipal Bonds Expert #0012A1

President, Southwestern US

I have 35 years of experience and specialize in the field of municipal bonds, municipal securities law and municipal disclosure, roles and responsibilities of parties, investigations and due diligence, and fiduciary duty, with specific knowledge 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. 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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  Security Disputes Expert #20163C

President, Southwestern US

I have 47 years of experience and specialize in the field of security disputes, with specific knowledge of customer disputes, firm disputes, and regulatory matters. I have published on such topics as statistical analysis of risk, structured finance litigation, and effective use of expert witnesses. I have testified 99 times on topics such as supervision, suitability, and churning.

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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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  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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  Securities Compliance Expert #20B3F8

Chief Compliance Officer, Canada

I have 16 years of experience in the field of securities compliance, with specific knowledge of securities law, corporate governance, and anti-money laundering. I have published on such topics as corporate governance, credit risk management and anti-money laundering. I have testified on anti-money laundering and securities compliance.

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  Life Insurance, Estate Planning Expert #216503

Principal, Southwestern US

I have 47 years of experience in the field of insurance, investments and retirement plans, with specific knowledge of design, evaluation, and implementation. I have published on such topics as life insurance creative planning. I have testified on ethics and business practices.

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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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  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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  Securitization, Due Diligence Expert #0012F0

President, Mid-Atlantic US

I have 35 years of experience, and specialize in the field of structured finance with specific knowledge in the areas of asset backed security, residential mortgage-backed securities (RMBS) and collateralized bond obligations (CBOs). I have published on such topics as securitization. I have testified on securitization industry customs and practices, bond indentures and consumer credit.

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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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  Securities, Venture Capital Expert #025D50

Midwestern US

I have 33 years of experience and specialize in the field of securities and general corporate law, with specific knowledge 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. 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, investment entities and other investment entity issues.

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  Suitability, Compliance Expert #20AF19

President, Southeastern US

I have 30 years of experience, and specialize in the field of securities litigation with specific knowledge in the areas of suitability, supervision and compliance. I have testified 30 times on topics such as those listed above, asset allocation and other securities industry-related topics. I am a former branch manager for a major firm, a Financial Industry Regulatory Authority (FINRA) arbitrator and non-practicing certified public accountant. I am also federal court certified as an expert witness.

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  Compliance Expert #20E819

Mid-Atlantic US

I have 26 years of experience in the field of securities law and compliance, with specific knowledge in the areas of compliance policies, suitability, and supervision. I have testified 30 times on topics such as churning, unauthorized trading, and supervision.

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  Securities Regulation Expert #20F9F7

Founder, Southwestern US

I have 25 years of experience in the field of securities regulation, with specific knowledge in the areas of broker dealer regulation, investment adviser regulation, and securities compliance. I have published on such topics as finder's fees, due diligence, and selling securities on the internet. I have testified 25 times on topics such as suitability, supervision and fiduciary duties.

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  Securities Regulation Expert #206E1E

Attorney, Mid-Atlantic US

I have 25 years of experience, and specialize in the field of securities and employment litigation with specific knowledge in the areas of compliance rules and regulations, employment policies and procedures and financial services industry standards. I have testified 40 times on topics such as industry rules regarding suitability, handling of customer accounts and internal investigations regarding compliance regulations and employment issues.

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  Valuations Expert #200578

Financial Analyst, Southwestern US

I have 25 years of experience, and specialize in the field of valuations with specific knowledge in the areas of securities, intellectual property and manufacturing. I have published on such topics as copyrights, damages and mark to market (fair value) accounting. I have testified 80 times on topics such as damages, value of interests and assets. I am also an arbitrator and have acted as neutral for financial companies, under court appointment, and at the request of the parties.

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  Regulatory Compliance Expert #028C2F

Managing Director, Mid-Atlantic US

I have 24 years of experience, and specialize in the field of regulatory compliance for securities firms, with specific knowledge in the areas of SEC-FINRA compliance programs, regulatory examinations, and investigative litigation support. I have published on such topics as SEC independent consultant reports, and expert witness reports and declarations and affadavits. I have testified on SEC-FINRA supervision, mutual funds and wrongful termination, supervision, and suitability. Hired as expert byu SEC Inspector General to investigate, report and recommend changes to SEC's OCIE division as to why they missed the Madoff ponzi scheme. Quoteed extensively in the OIG report to Congress and SEC Chair Shapiro Elected as replacement director for the failed Bear Stearns hedge funds in Nov 2007. Investigating and preparing litigation support to maximize recoveries for shareholders

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  Arbitration, Mediation Expert #001557

Owner, Southwestern US

I have 24 years of experience, and specialize in the field of investments with specific knowledge in the areas of annuities, securities and life insurance. I have published on such topics as retirement plans, ethics and annuities. I have testified on churning, securities and fiduciary responsibilities. Detailed oriented, looking for various ways to present the case to resolve the matter at hand.

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  Securities Fraud Expert #1FE4A7

Solo Practitioner, Southeastern US

I have 22 years of experience in the field of securities, with specific knowledge of broker and dealer litigation, broker and dealer regulation, and regulatory filings. I have published on such topics as venue choice, securities fraud, and law office technology.

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  Alternative Dispute Resolution Expert #000F36

Southwestern US

I have 22 years of experience in the field of securities, with specific knowledge in the areas of arbitration, mediations, and scams. I have published on such topics as investments, retirement planning, and estate planning. I have testified 10 times on topics such as securities fraud, investment scams, and retirement scandals.

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