INVESTMENT BANKING EXPERT WITNESSES

Expert Witness: E-462277
This expert has over 30 years of experience in asset management. He earned his BS in industrial and operations engineering from the University of Michigan before earning his MBA from Harvard University. He is licensed by the National Futures Association in national commodity futures and is a member of the National Futures Association Hearing Committee. Throughout his career, he has held multiple distinguished leadership roles. He was the vice president of investment ...
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-013176
This expert has more than 20 years of experience as a retail executive (Senior VP, Executive VP, Merchandise VP, and President) with Macy's, Bloomingdales, the U.S. division of a major dutch retailer Steinbach, and more. He has also spent 18 years as a financial advisor, equity analyst, and investment banker. He earned a BS in Retail Management/Marketing from Drexel University and has authored multiple publications in the retail finance space.
Expert Witness: E-015620
This expert has over 40 years of experience in every area of investment banking, including Mergers and Acquisitions (including LBOS and recapitalizations), Fairness Opinions, Adequacy Opinions, Solvency Opinions, Valuations, Damage Issues, Fiduciary Issues, Advice to Special Committees of Boards and Trustees, Due Diligence and Disclosure Issues, Financing of debt and equity both public and private, Leasing and Real Estate Financing, and many other areas. He graduated ...
Expert Witness: E-009408
This financial expert earned his BA from Brown University, and his Master of International Affairs in Finance from Columbia University. He has held top leadership positions at numerous financial institutions including Standard & Poor's and Lehman Brothers He is the former Senior VP and Co-Head of Investment Banking Credit, Ratings Advisory, & Execution at Lehman Brothers. Through 2013, this expert was the Director/Senior Vice President - Ratings Advisory & Credit Review ...
Expert Witness: E-018311
This expert is a highly qualified and multi-faceted business professional and educated. He is a top-ranked, tenured professor at one of the nation's top universities, and a successful real estate developer/investor. Widely quoted, he has appeared on BBC World News, Bloomberg, CNN, FOX News, NBC's The Today Show, NPR, and all major dailies including the Wall Street Journal, New York Times, and Financial Times. A highly sought-after speaker, he regularly presents to ...
Expert Witness: E-007929
This station valuation and broadcast station economics expert has been working in the media and entertainment industry for over 40 years. He studied Radio and Television at Ithaca College prior to receiving his M.B.A. with a concentration in Finance from American University. He is a former Founding Partner of DES Associates, where he worked for nearly a decade providing appraisal and acquisition analysis to the broadcasting industry. During this time he concurrently ...
Expert Witness: E-070533
This highly qualified banking supervisory expert is a former officer at the Federal Reserve Board, where he was responsible for regulatory policies and supervisory standards surrounding credit, market, liquidity and operational risk management at regulated institutions. The expert first joined the Federal Reserve in 1991 as a Supervisory Financial Analyst and became a Deputy Associate Director for the Board of Governors in 2004. He oversaw market and liquidity risk, as ...

INVESTMENT BANKING EXPERT WITNESS CASE STUDIES

Commercial Bank Allegedly Violates Bond Redemption Regulations INVESTMENT BANKING Expert Case

This case involves US savings bonds worth $500,000 that were cashed at a bank in California without the knowledge or consent of the bond owner. The bank claimed that the owner of the bonds gave verbal permission for a coworker to come in and cash the bonds …

Banks Fails To Conduct Due Diligence On Fraudulent Customer INVESTMENT BANKING Expert Case

Banks Fails To Conduct Due Diligence On Fraudulent Customer

…  multi-billion dollar fraud. Its customer, an international banking company, sold certificates of deposit to individuals. Funds were …  diligence for nearly 10 years. An expert in correspondent banking was sought to opine on the standards of a reasonable bank, namely the …

Investment Banking Expert Reviews Transactional Dispute INVESTMENT BANKING Expert Case

Investment Banking Expert Reviews Transactional Dispute

…  provision did not constitute a “success fee.” An expert in investment banking was sought to opine first on the issue of the success fee and to relay …

Investment Banking Expert Reviews Equity Dispute INVESTMENT BANKING 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 …

Trust Compliance Expert Discusses Bank’s Liability In Investment Scam INVESTMENT BANKING Expert Case

…  a class action suit against a bank that allegedly aided an investment scam. An investment firm ran advertisements offering investors a …  retirement funds supported through this firm. An expert in banking with experience in trust compliance was sought to speak to the …

Banking Expert Witness Discusses Illegal Securities Sales Using Caribbean bank INVESTMENT BANKING Expert Case

…  banking expert witness opines on a case involving a securities dealer who was …  value of more than $100,000. The defendant worked at an investment firm. He was contacted by state security officials and told he …  a warrant on the defendant’s office and seized numerous investment materials, including certificates of deposit (CDs), which the state …

Investment Firm Sues Attorney Over Corporate Dispute INVESTMENT BANKING 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 …

Investment Advisory Service Accused of Breach in Fiduciary Duty INVESTMENT BANKING Expert Case

…  equity losses due to allegedly negligent capital market investment advice provided by the defendant firm. The plaintiff in …  The plaintiff also established a discretionary, managed investment account with another firm and relied upon the defendants for investment advice and recommendations. The plaintiff consulted with the …