SEC EXPERT WITNESSES

Expert Witness: E-176591
This highly qualified expert has provided valuation and corporate finance consulting services since 1987. He is a Chartered Financial Analyst (CFA) and he is a member of several prestigious associations including the Healthcare Financial Management Association and the American Society of Appraisers. He previously worked as the Senior Managing Director of American Appraisal Associates Inc where he was the Chair of Healthcare Industry Practice. Currently, this expert ...
Expert Witness: E-070514
This accounting consultant is a CPA with an M.B.A. from Cornell and a Ph.D. in Accounting from Ohio State University. Early in his career, he was an Academic Fellow in the Office of the Chief Accountant at the U.S. Securities and Exchange Commission. He now works as a consultant to public companies on matters including SEC compliance, U.S. GAAP, international accounting standards, and control of international operations. He produces training content has led 250 ...
Expert Witness: E-489965
This highly-qualified expert has extensive experience in the field of law enforcement. He earned his BS in sociology and criminal justice from Curry College and graduated from both the Boston Police Academy and the FBI National Academy. He also completed the senior executives program for state and local government at Harvard Kennedy School of Government and the national leadership preparedness initiative program at the Harvard School of Public Health. This expert is ...
Expert Witness: E-301253
This expert has extensive experience in the security industry, with his work focusing on off-duty police survival, law enforcement, field drug identification kits, investigations, social media intelligence, executive protection, and training standards. He earned his BS in strategic security and protection management from National American University and currently holds several certifications, including professional crime investigator, social media intelligence expert, ...
Expert Witness: E-494796
This highly-qualified expert has 25 years of experience in the field of finance and securities. He received his BA in economics and philosophy from Elon College before earning his MA in economics from the New School for Social Research, where he also completed PhD-level coursework. This expert is a FINRA/Wharton certified regulatory and compliance professional and FINRA arbitrator, and holds a Series 65 securities license. He is active in his field as a member of the ...
Expert Witness: E-380762
This highly qualified financial services technology expert has over 35 years of professional experience. His expertise includes systems development, integration, infrastructure, information security and operations in the trading, investment, banking, and asset management businesses. He earned his BS in computer science from the City University of New York and is a graduate of the ABA Stonier Graduate School of Banking at Georgetown University. He holds certifications as ...
Expert Witness: E-538389
This highly-qualified expert has extensive experience as a computer engineer in the areas of cybersecurity, network forensics, and encryption. He earned both his BS in information technology and MS in management of secure information systems from George Mason University. He holds several certifications, including information systems security professional, EC-Council ethical hacker, Microsoft enterprise support technician, and SonicWall network security essentials ...
Expert Witness: E-531595
This qualified expert has extensive experience in cyber security and incident response. He earned his BS in management of information systems from Albertus Magnus College and is currently pursuing a Master's in digital investigations from Champlain College. This expert is a certified information systems security professional. He began his career at Yale University, serving as an information security analyst and a senior information security officer. He then went on to ...
Expert Witness: E-275144
This qualified expert has extensive experience in his field, holding 15 computer technology-related certifications. He earned his BS in computer systems networking & telecommunications from Florida State College and is currently in pursuit of his MS in digital forensics at the University of Central Florida. He is active in his field as a member of the High Technology Crime Investigation Association. He has formerly served as a desktop support engineer for Sea Star Line, ...
Expert Witness: E-512723
This highly-qualified expert has over 15 years of experience in the field of economics and finance. He received his BA in economics from Washington and Lee University before earning his MA in economics at University of California Davis. He then earned his PhD in finance from Duke University. He is active in his field as an author of several publications and a speaker at multiple conferences. He has formerly served as an assistant professor of finance at the University of ...
Expert Witness: E-482062
This highly qualified expert has over 40 years of experience in his field. He earned his BS from the University of Illinois and his JD from the University of Pennsylvania. He also completed graduate studies in criminology at the University of Pennsylvania and attended both Officer Candidate School and Officers Military Police School through the U.S. Army. He is active in his field as a member of the International Association of Professional Security Consultants, the ...
Expert Witness: E-493532
This expert has over 15 years of experience in cybersecurity. He received his BA in applied mathematics from UC Berkeley and his MS in applied and computational mathematics from Johns Hopkins University. He also earned his MBA in entrepreneurship from the University of Maryland. He is a certified information systems security professional. For many years, this expert worked for the NSA in varying roles. He began as a software and electrical engineer in the engineering ...

SEC EXPERT WITNESS CASE STUDIES

Expert Witnesses Are Permitted to Interpret FINRA Rules, Court Says SEC Expert Case

…  FINRA expert had 35+ years of experience as a securities attorney. He served as senior regional counsel in the enforcement …  at FINRA. During his time with FINRA, he successfully prosecuted 400+ cases against registered persons and FINRA members. At the time of …

Company’s Share Prices Drop After Alleged Performance Manipulation SEC Expert Case

…  is a securities class action case on behalf of purchasers of a company’s common …  forced to amend its annual report, which rendered prior SEC filings unreliable. As a result, share prices dropped 65% from when they …

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

…  stock accounted for 38% of the fund’s portfolio, breaching SEC guidelines which stipulate that a mutual fund cannot invest more than 25% …  to suffer a loss of several hundred million. An expert in securities economics was sought to assess the loss incurred by employees from …

SEC Fines Company $50 Million For Covert Trading SEC Expert Case

SEC Fines Company $50 Million For Covert Trading

…  case involves a company that was fined $50 million by the Securities Exchange Commission for secretly trading its own program in its dark pool trading system. The …

SEC Expert Reviews Whistleblower Revenue Recognition Claims SEC Expert Case

This case involves complaints from various employees of a publicly traded company regarding their employer’s revenue recognition practices. It was alleged that the employer was recognizing revenue from high-tech and other specialized systems before their i …

Investment Experts Discuss Bank Fraud SEC Expert Case

Investment Experts Discuss Bank Fraud

…  was a class-action lawsuit under the Securities Exchange Act of 1934 against a major financial firm in West …  to disclose that they were under investigation by the Securities and Exchange Commission for making materially misleading statements …