INVESTMENT ADVISER EXPERT WITNESSES

Expert Witness: E-091175
Education: AB, Economics, Lafayette College; M.S., Accountancy, NYU Stern; A.P.C., Investment Management, NYU Stern Professional certifications: CPA; Chartered Financial Analyst (CFA); AICPA-Accredited, Business Valuation (ABV); AICPA-Certified in Financial Forensics (CFF); Certified Fraud Examiner (CFE): Certified Management Accountant (CMA); Certified Insolvency & Restructuring Advisor (CIRA); Certified Turnaround Professional (CTP); Certification in Distressed ...
Expert Witness: E-136268
This expert has over 30 years of experience in investment management. He holds a BA in economics from Brandeis University and an MBA in finance and accounting from the University of California, Berkeley. Throughout his career managing portfolios and funds, he has bought and sold options and traded stocks, ETFs and mutual funds. As the former Managing Director and Portfolio Manager at Charles Schwab, he managed a $3.5B of mutual fund assets. In this role he was ...
Expert Witness: E-135998
This C-level financial executive has 35+ years of experience in investment banking, capital markets, private equity, and business development. He is an expert in the global alternative investment industry with a BS from Boston University, an MBA from Stern at NYU, and the Level I CAIA certification. He is also a regular speaker on the international alternative investments conference circuit and has contributed to various industry publications. Most recently, the expert ...
Expert Witness: E-008366
This expert is the President and Chief Compliance Officer of a Registered Investment Advisory firm that he established in the 1980s. His credentials are numerous including being an Accredited Investment Fiduciary (AIF), Certified Fraud Examiner (CFE), Life Underwriter Training Council Fellow (LUTCF), and recognized by the Minnesota Supreme Court as a Qualified Neutral under Minnesota Rule 114 of Standard Practice in Mediation and Arbitration. He was formerly a Registered ...
Expert Witness: E-007933
This expert has over 20 years of experience in advising asset managers of all sizes and complexities across fund and investment adviser formation, securities, corporate, regulatory, fund marketing, fund operations, investor due diligence, compliance and best practices front to back office infrastructure including legal negotiations and operational set up with various trading counter-parties and service providers such as fund administrators, prime brokers. He received ...
Expert Witness: E-007846
This expert has over 25 years of experience in the securities industry as an accounting and compliance specialist. Industry experience with broker-dealers, registered investment advisers, hedge funds,regulation, compliance, accounting, and information technology. He has been FINRA registered since 1984 and is also a licensed Financial and Operations Principal. He currently serves as Principal for a financial compliance services firm.
Expert Witness: E-009276
This highly qualified financial expert has 30+ years of professional experience at leading firms. Currently he is a Prinicipal at R. G. Quintero & Co. and a Managing Director at Chartered Capital Advisers. Previously he, was an investment banker at Bear, Stearns & Co., Inc., an insolvency and restructuring advisor at Zolfo, Cooper & Co, and also started and ran the first valuation practice of KPMG. This expert has performed 1000+ valuations of business, financial ...

INVESTMENT ADVISER EXPERT WITNESS CASE STUDIES

Financial Planner Costs Client Millions In Lost Investments INVESTMENT ADVISER Expert Case

…  approximately $5 million in funds into a non-qualified investment account but was unable to do so. The defendant then attempted …  ended up paying more than $2.5 million in taxes and lost investments. These actions were all performed without the plaintiff’s express …

Investment Broker Is Accused Of FINRA Violations INVESTMENT ADVISER Expert Case

Investment Broker Is Accused Of FINRA Violations

…  allegations about his trustworthiness and ability as an investment broker. One allegation suggested that the broker had numerous FINRA complaints. An expert in investment brokerage was sought to opine on how this defamation affected the …

Financial Advisor Fails To Adequately Support Development Project INVESTMENT ADVISER Expert Case

This case involves a railroad company that hired a financial advisor to support a project to develop a high-speed bullet train. To develop the railroad, the company partnered with foreign technology companies and banks for financial support, along with dom …

Investment Firm Violates SEC Guidelines By Failing To Diversify INVESTMENT ADVISER Expert Case

…  of employee 401(k) profit sharing retirement plans. An investment advisory firm was tasked with managing investments and overseeing the fund. Allegedly, the investment advisory firm …

Investment Banking Expert Reviews Equity Dispute INVESTMENT ADVISER Expert Case

Investment Banking Expert Reviews Equity Dispute

…  case involves a dispute between an investment fund and a luxury resort. The plaintiff firm invested in the defendant’s company, and the investment was executed under a zero-interest convertible note. Under the terms, the firm would either receive the initial investment back or could receive a number of shares based on a prevailing …

Surviving Trustee Allegedly Violates Fiduciary Duty INVESTMENT ADVISER Expert Case

Surviving Trustee Allegedly Violates Fiduciary Duty

This case involves a dispute over a survivors trust. A couple with no children held the trust, the main asset of which was a residential property. When the wife passed away, the husband established a survivors trust. One of the beneficiaries of the survivo …

Investment Firm Sues Attorney Over Corporate Dispute INVESTMENT ADVISER Expert Case

Investment Firm Sues Attorney Over Corporate Dispute

…  case involves an investment firm in Washington that decided to litigate against the law firm …  a misunderstanding over the annual fees the capital market investment firm owed to an investment bank, where the firm believed an oral agreement to cap the bank’s …