INVESTMENT EXPERT WITNESSES

Expert Witness: E-135076
This expert has nearly 20 years of legal and trust administration experience. She gained her JD from Willamette College of Law and is licensed to practice in Wyoming. She served as an attorney at James H. Jordan PC, an attorney for Austin Law Office, and an assistant vice president and trust administrator in the investment management and trust division at ANB Bank.Currently she is an attorney focusing on probate and estate administration issues.
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-164540
This highly qualified expert has over 25 years of experience in the commercial real estate finance industry and his expertise includes real estate asset management, mortgage loan servicing, risk assessment and mitigation and relationship management. After receiving his bachelor's degree in Business Administration and Finance from Georgia State University, this expert went on to be a Contract Administrator at the Federal Asset Disposition Association. He then worked as a ...
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-010297
This seasoned expert witness has 29 years of financial exxperience. He has a broad and deep background in various dimensions of financial services and investment management. He has worked as a senior investment analyst and portfolio manager at Arden Asset Management and Guggenheim Partners, a senior risk officer at Bear Stearns, a convertible arbitrage salesman at Murphy & Durieu, and a credit analyst and loan officer at Manufacturers Hanover. His litigation consulting ...
Expert Witness: E-033509
This expert is an investment professional with over 25 years of experience in the securities industry, including investment management responsibility, broker-dealer management, due diligence oversight for sophisticated products, financial analysis, and high net worth sales expertise. A graduate of Dartmouth College and the Kellogg Graduate School of Management at Northwestern University, he has worked in the financial services and investment advisory business for over ...
Expert Witness: E-029314
This experienced finance professional has background in portfolio and trust management, mutual funds, and hedge funds over a 45-year career. He earned his B.S. from the University of Pennsylvania and his M.B.A. in Finance from Harvard University. He holds several industry credentials; the expert is a Registered Investment Advisor, a Chartered Financial Analyst, and a FINRA Arbitrator. The expert began his career at J.P. Morgan before joining Citibank, where he eventually ...
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 ...

INVESTMENT EXPERT WITNESS CASE STUDIES

Utility Company Violates Wind Farm Development Contract INVESTMENT Expert Case

Utility Company Violates Wind Farm Development Contract

…  the public utility company committed to making an equity investment into a wind farm the green energy supplier built. The public utility company failed to make the investment, claiming that the green energy supplier failed to meet certain …

Financial Planner Costs Client Millions In Lost Investments INVESTMENT 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 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 …

Energy Company Breaches Equity Investment Contract INVESTMENT Expert Case

Energy Company Breaches Equity Investment Contract

…  which the utility company committed to making an equity investment into a wind farm the renewable energy company built. The utility company failed to make the investment, claiming, among other reasons, that the renewable energy company …

Hedge Fund Manager Is Wrongfully Terminated In The Midst Of SEC Probe INVESTMENT Expert Case

This case involves the head of trading at a large hedge fund who was wrongfully terminated during an SEC probe. He had been implicated for misconduct by his previous employer and the claim required investigation. After the investigation, the head of tradi …

Negligent Trust Management Leads To Multi-Million Dollar Loss INVESTMENT Expert Case

This case involves an insurance company that put its money into a trust with a depositor that ended up losing its money. The insurance company had a fronting agreement with a depository company. Part of the deal included the bank holding collateral in a tr …

Investment Banking Expert Reviews Equity Dispute INVESTMENT 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 …