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Compliance Expert Witnesses

It is estimated that organizations of all sizes spend an average of just under $10,000 per employee annually on regulatory costs, and the costs of being non-compliant are even higher. Most organizations need to adhere to compliances, which is largely due to the increasing amount of regulations required for operational transparency. Our compliance experts have worked as accountants, university professors, consultants, FDA investigators, environmental compliance officers, banking professionals, and more. These experts specialize in:

  • Coding
  • CMS regulations
  • Healthcare compliance
  • HIPAA privacy
  • Tax assessment
  • Estate and trust management
  • Training
  • Medical billing
  • GAAP
  • SEC Compliance
  • Arbitrations
  • Federal Drug Administration regulatory affairs
  • Pharmaceuticals
  • Air permitting
  • Wastewater treatment
  • Medical devices and biotech
  • Commercial banking
  • Hazardous waste and contamination
With hundreds of years of combined experience, our compliance experts have successfully testified for both plaintiffs and defense in a variety of cases, and are prolific international authors and lecturers. Their published works span topics that include options backdating, accounting for securizations, FINRA exams, Anti Money laundering, general compliance, regulatory affairs, drug formulation,  coal mining, illegal discharge, and socially responsible investing.

Here are a few of our favorite Compliance Expert Witnesses:

Pennsylvania Process Safety, Compliance Expert #35684

I have 23 years of experience in the field of industrial process risk management, with specific knowledge in the areas of environmental, safety and chemical management. I have published on such topics as identifying and measuring industrial process risks, management systems and auditing industrial processes.

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Texas Information Security, Compliance Expert #46449

I have 7 years of experience, and specialize in the field of information technology and security with specific knowledge in the areas of information security, compliance and auditing. I have published on such topics as ethical hacking, penetration testing and information security. I have testified on information gathering, penetration testing and compliance.

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Florida Compliance, Audits, Enforcement Expert #37690

I have 3 years of experience, and specialize in the field of workers’ compensation with specific knowledge in the areas of compliance, auditing and enforcement.

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Louisiana Administration, Compliance Expert #50625

I have 28 years of experience, and specialize in the field of trust administration with specific knowledge in the areas of regulatory compliance, trust document interpretation and wealth management decisions.

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New York Compliance, Churning, Raiding Expert #39261

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…

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South Carolina Governance, Compliance, Breach Expert #51514

I have 35 years of experience, and specialize in the field of all areas of information technology with specific knowledge in the areas of information technology risk and compliance, information security and information technology processes. I have published on such topics as information technology excellence, information technology governance and qualities of information technology expert witness….

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North Carolina Compliance, Risk Assessment Expert #40329

I have 12 years of experience, and specialize in the field of environmental management and compliance with specific knowledge in the areas of environmental compliance, (EPA), OSHA compliance and environmental toxicology. I have published on such topics as pollution prevention, hazardous waste management and chemical hygiene.

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Kentucky Mortgage Banking, Compliance Expert #52563

I have 35 years of experience, and specialize in the field of mortgage lending with specific knowledge in the areas of origination, mortgage fraud and quality control. I have published on such topics as personal responsibility, mortgage cram-down and FHA’s solvency. I have testified 13 times on topics such as foreclosure prevention and sound mortgage…

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Massachusetts Compliance Expert #41145

I have 30 years of experience and specialize in the field of accounting with specific knowledge in the areas of GAAP, SEC compliance and tax matters. I have published on such topics as options backdating, accounting for securitizations and standard setting. I have testified 10 times on topics such as compliance with GAAP, realization of…

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New York Compliance, Arbitrations Expert #52660

I have 15 years of experience, and specialize in the field of broker dealers with specific knowledge in the areas of compliance, regulations and arbitration’s. I have published on such topics as FINRA exams, Anti Money laundering issues and General compliance.

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New York Blood Banks, Compliance, Design Expert #6207

I have 39 years of experience, and specialize in the field of Federal Drug Administration (FDA) regulatory affairs and quality assurance compliance with specific knowledge in the areas of medical devices, pharmaceuticals and foods. I have published on such topics as FDA compliance issues, dealing with the FDA and importing products to the USA. I…

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California Air Permitting, Compliance Expert #41566

I have 20 years of experience and specialize in the field of environmental engineering with specific knowledge in the areas of waste-to-energy, air permitting and wastewater treatment. I have published on such topics as waste-to-energy, energy conservation and sustainable waste management.

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