SECURITIES EXPERT WITNESSES

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-107164
This well-credentialed expert specializes in damages analysis, financial economics, and valuations in complex commercial litigation. Experienced across a range of verticals, he has testified on numerous government matters, including the largest government contract dispute in history. He has also worked in many private litigation matters and has valued damages, intellectual property, and lost profits. The expert earned his BS from Georgetown University, as well as an MA ...
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-089778
This expert has spent more than three decades in the federal government, filling critical national security roles domestically and on behalf of the U.S. government overseas. He previously served as Assistant Administrator of TSA Security Operations, overseeing 450 airports and a $3.7 billion dollar budget. During his tenure, he successfully led a reorganization of the Office of Security Operations (OSO), improving communication with the field, streamlining HQ field ...
Expert Witness: E-086167
This experienced corporate finance attorney retired after a 44-year career with Bell, Boyd & Lloyd in Chicago, where he practiced in securities, corporate governance, and related areas. For 13 years, he was the Chair of his firm's corporate and securities group, working with many large U.S. Corporations. He recently taught an M&A course at Northwestern University and currently acts as an independent consultant and a FINRA arbitrator.
Expert Witness: E-015634
This expert specializes in structured finance, derivatives, securities and finance matters. His experience includes cash, synthetic and hybrid collateralized debt obligations (CDOs), asset-backed securities (ABS) of various types, structured investment vehicles (SIVs), collateralized loan obligations (CLOs), mortgage-backed securities (MBS), credit default swaps (CDS), interest rate swaps, credit-linked notes (CLNs), repurchase ("repo") agreements and securities fraud. ...
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-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-055576
This economics Ph.D. has a broad financial background spanning mortgage-backed securities, asset-backed securities, and structured products. After earning his master's and doctorate from the University of Florida, he became a tenured Associate Professor at the University of South Carolina. The expert eventually began a successful career in finance and served in several senior positions, including as global head of MBS research at two major investment banks, CS First ...
Expert Witness: E-012863
This highly qualified expert is a licensed FINRA arbitrator with years of experience in trusts, treasuries and financial planning. He received his BS degree from Florida Southern College and completed his training in securities at FINRA, Wharton and the New York Institute of Finance. He is a former branch manager at Merrill Lynch and the former manager of the New York City District Professional Resource Center, which is comprised of over 40 specialists serving 700+ ...
Expert Witness: E-009210
This expert has over 30 years of experiences with securities, investments, and insurance at the financial advisor, supervisory, and managing principal level. He has his producer's license in life, accident, and health insurance, is a certified financial planner, a chartered financial consultant, and a chartered life underwriter. He is also a member of numerous prestigious organizations in the insurance and financial services fields. This expert is is a former agency ...

SECURITIES EXPERT WITNESS CASE STUDIES

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

…  FINRA expert had 35+ years of experience as a securities attorney. He served as senior regional counsel in the enforcement …  Support, LLC, a company that provides services related to securities litigation. The expert had served as an expert in multiple Federal …

District Court Finds Multiple Actuary Expert Methodologies Reliable SECURITIES Expert Case

Court: United States District Court for the Eastern District of Wisconsin Jurisdiction: Federal Case Name: Merrill v. Briggs & Stratton Corp. Citation: 2015 U.S. Dist. LEXIS 117677 In this class action lawsuit involving alleged violations of  …

Bank Found Negligent In Instituting Anti Money Laundering Policies SECURITIES Expert Case

…  insurance company. The trust account contained eligible securities valued at $15 million. The bank subsequently allowed a third-party to deposit ineligible securities into the account and sell the good bonds. The third party was an …

Embezzlement Scheme Costs Class Of Investors Thousands SECURITIES Expert Case

Embezzlement Scheme Costs Class Of Investors Thousands

This is a class action lawsuit brought by the victims of an embezzlement scheme who lost thousands of dollars in investments. A forensic accounting expert was sought to review banking and wire transfer data showing transactions from individuals to a privat …

Banks Fails To Conduct Due Diligence On Fraudulent Customer SECURITIES Expert Case

Banks Fails To Conduct Due Diligence On Fraudulent Customer

This case involves plaintiffs who sought to recover damages allegedly caused by a correspondent bank’s failure to act in response to a multi-billion dollar fraud. Its customer, an international banking company, sold certificates of deposit to individuals.  …

Seller Withholds $3 Million In Inventory Following Transition Services Agreement SECURITIES Expert Case

This case involves a seller that collected customer payments for the buyer under a transition services agreement. Although it was undisputed that the seller withheld some of that cash, the parties disputed the amount withheld. The sale agreement identifie …