SECURITIES EXPERT WITNESSES

Expert Witness Directory: 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 Directory: 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 Directory: 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 Directory: 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 Directory: 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 Directory: 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 Directory: 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 Directory: 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 Directory: 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

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 …

Hedge Fund Manager Is Wrongfully Terminated In The Midst Of SEC Probe SECURITIES 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 …

SEC Fines Company $50 Million For Covert Trading SECURITIES 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 Securities Exchange Commission found that the company misused information from …

Financial Company In Violation of SEC Terminates Whistleblower SECURITIES Expert Case

Financial Company In Violation of SEC Terminates Whistleblower

This case involves a whistleblower who was employed as a manager by a financial firm. The employee was tasked with projecting a sales quota for the coming quarter. In the course of preparing her report, she allegedly demonstrated that the firm had been ove …

SEC Expert Reviews Whistleblower Revenue Recognition Claims SECURITIES 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 …

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

…  funded, the trust account had about $25 million in securities and cash. The depositor of the trust account then swapped out good securities for junk bonds. Because of this, the beneficiary of the trust needed …

Programmer Analyzes Allegedly Fraudulent Billing Software SECURITIES Expert Case

This case involves suspected accounting fraud by a large pharmaceutical company. It was alleged that the company in question was acting in violation of the False Claims Act by billing for mislabeled drugs which were outside of the scope of a government con …