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Securities Expert Witnesses

Our securities expert witnesses, speakers, and consultants are scholars and researchers from major universities and professionals who have worked in the securities industry for the U.S. Securities and Exchange Commission and various securities investment firms such as Bear Stearns. They have served as experts or consultants for the New York Stock Exchange, Morgan Stanley Dean Witter, and UBS PaineWebber, Inc., among others. Our securities experts testify regularly in federal and state courts and in arbitrations before the National Association of Securities Dealers (NASD), the New York Stock Exchange (NYSE), the National Futures Association (NFA), and the American Arbitration Association (AAA). In addition, they are prolific authors on such topics as securities regulation, securities fraud, and class-action litigation.

Here are a few of our favorite Securities Expert Witnesses:

Michigan Corporate Governance, Securities Expert #1313

I have 25 years of experience, and specialize in the field of securities law.

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Pennsylvania Securities, Banking, Investments Expert #33808

I have 23 years of experience in the field of financial management and brokerage, with specific knowledge in the areas of banking, private client management, and financial markets.

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New York Portfolio Management Expert #1831

This sample expert is a founding partner of a comprehensive wealth management company. Currently principal and portfolio manager of the firm.

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California Securities Expert #34069

I have 27 years of experience in the field of financial management with specific knowledge in the areas of taxation, insurance and securities. I have published on such topics as elder care, health insurance and estate planning. I have testified on securities laws, insurance law and elder care.

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Minnesota Securities Expert #3863

I have 20 years of experience and specialize in the field of finance and securities with specific knowledge of securitization and structured finance, corporate finance and accounting. I have published on such topics as corporate finance, securities damages and accounting. I have testified 20 times on topics such as accounting, Ponzi schemes and securitization.

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California Securities, Stocks, Bonds Expert #34756

I have 40 years of experience, and specialize in the field of securities with specific knowledge in the areas of stocks bonds, suitability and management portfolio. I have published on such topics as investing in ETFs, investing in the Nasdaq market and investing with Intellignet ETFs. I have testified 7 times on topics such as…

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Nevada Securities Expert #11031

I have 35 years of experience and specialize in the field of investments and securities with specific knowledge in the areas of broker-dealer practices and standards, registered representative training, procedures and standards, and securities and insurance industry products. I have testified 45 times on topics such as securities industry issues.

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Illinois Damages, Securities, Commodities Expert #38493

I have 13 years of experience, and specialize in the field of financial markets with specific knowledge in the areas of damages, securities fraud and valuation. I have testified on profit and loss, damages and valuation.

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Washington D.C. Securities, Finance, Valuation Expert #12652

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…

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Georgia Securities, Class Action Expert #45586

I have 38 years of experience, and specialize in the field of litigation with specific knowledge in the areas of securities, class actions and medical. I have published on such topics as the legal aspects of starting a business, tax aspects of reincorporation and securities law and the internet. I have testified on criminal conduct….

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Washington D.C. Investment, Finance, Securities Expert #14111

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…

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Illinois Investments, Securities Expert #47421

I have 15 years of experience, and specialize in the field of investments and securities with specific knowledge in the areas of churning, suitability and RIA activities. I have published on such topics as risk management, compliance and supervision. I have testified 10 times on topics such as suitability, fiduciary duty and RIA activities. I…

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California Securities, Corporate Expert #14542

I have 15 years of experience, and specialize in the field of corporate and securities law with specific knowledge in the areas of private offerings, public offerings and SEC reporting. I have published on such topics as The Private Securities Litigation Reform Act, underwriters due diligence obligations and contract law. I have testified 6 times…

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Maryland Tax, Securities, Fraud, Planning Expert #47948

I have 24 years of experience, and specialize in the field of estate planning with specific knowledge in the areas of generation skipping taxes, qualified plans and individual retirement account distributions planning and laws and trust planning. I have published on such topics as individual retirement account distribution planning. I have testified on fiduciary issues…

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Oregon Legal Malpractice, Securities Expert #14776

I have 35 years of experience, and specialize in the field of complex business litigation with specific knowledge in the areas of securities, legal malpractice and reasonable fees. I have published on such topics as securities regulation, complex litigation and attorneys fees.

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New York Securities, Insurance, Finance Expert #48160

I have 20 years of experience, and specialize in the field of life insurance and life settlements with specific knowledge in the areas of magnetizations, off shore and private placement life insurance. I have published on such topics as asset protection and hedge funds and estate tax.

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New York Forensics, Finance, Securities Expert #15747

I have 25 years of experience, and specialize in the field of forensic accounting with specific knowledge in the areas of securities litigation, valuations and accountants’ liability. I have published on such topics as accounting failures and changes in accounting. I have testified on breach of contract and valuation.

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California Finance, Securities, Fraud Expert #48476

I have 20 years of experience, and specialize in the field of residential mortgage lending and residential mortgage backed securities with specific knowledge in the areas of residential mortgage lending, residential mortgage backed securities and mortgage loan repurchase or put back demands.

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Illinois Securities, Valuation, Damages Expert #21659

I have 13 years of experience, and specialize in the field of economics and finance with specific knowledge in the areas of securities fraud, valuation and labor discrimination. I have testified as an expert witness and has also acted as an independent expert in several mediations.

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New York Securities, SEC, Investment Expert #50788

I have 9 years of experience and specialize in the field of financial with specific knowledge in the areas of compliance, mutual funds and account payable.

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Washington D.C. Securities, Valuation, Financing Expert #22255

I have 25 years of experience and specialize in the field of mortgage investments, with specific knowledge of mortgage securities, valuation or pricing and risk controls. I have published on such topics as market accounting impact on system capital.

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Georgia Securities Expert #50965

I have 34 years of experience and specialize in the field of financial services with specific knowledge in the areas of securities, annuities and insurance. I have published on such topics as ethics. I have testified 20 times on topics such as Freddie Mac, Fannie Mae, due diligence, supervision, suitability and annuities, and life insurance.

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Securities, Industry Regulations Expert #25675

I have 40 years of experience, and specialize in the field of securities with specific knowledge in the areas of industry regulations, administration of an investment firm. I have the unique experience in Canada of having held senior positions on both the Self-Regulation and Member sides of the securities business.

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New Jersey Accounting, Securities, Analysis Expert #27304

I have 22 years of experience in the field of financial services, with specific knowledge in the areas of generally accepted accounting principles and statutory accounting, structured finance, and securities analysis. I have published on such topics as insurance accounting, balance sheet risks, and earnings quality.

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Ohio Securities Expert #29680

I have 22 years of experience and specialize in the field of general securities with specific knowledge in the areas of sales, management and supervision. I have published on such topics as financial planning and manager selection. I have testified on broker due diligence, transfer of accounts and RR supervision.

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New York Investments, Securities, Options Expert #31861

I have 20 years of experience, and specialize in the field of securities regulation with specific knowledge in the areas of program trading, derivatives and equities. I have published on such topics as markets, numerous reports on trading violations and referred B/D for disciiplinary action. I was an expert and participant in developing procedures and…

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Antitrust, Securities Expert #32835

I have 9 years of experience and specialize in the fields of law and economics, with specific knowledge of antitrust, securities (insider trading) and corporate law. I have published on such topics as corporate and securities law, and antitrust and criminal law.

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