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Finance and Securities Expert Witness | New York

Expert Qualifications

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 Securities Industry and Financial Markets Association. He has formerly as an administrative assistant, financial consultant, and vice president of Merrill Lynch & Co., as well as the managing member of both Duval Asset Management and Heterodox Capital Partners. Currently, this expert is the CEO and CIO of an investment advisory firm in New York, as well as the managing partner of a securities litigation consultancy.

Bio Snapshot

Location: NY
BA, Philosophy & Economics, Elon College
MA, Economics, New School for Social Research
Certified, Regulatory & Compliance Professional, FINRA/Wharton
Certified, FINRA Arbitrator
Licensed, Series 65
Member, Securities Industry and Financial Markets Association
Former, Administrative Assistant, Merrill Lynch & Co.
Former, Financial Consultant, Merrill Lynch & Co.
Former, Vice President, Merrill Lynch & Co.
Former, Managing Member, Duval Asset Management
Former, Managing Member, Heterodox Capital Partners
Current, Managing Partner, a securities litigation consultancy in NY
Current, CEO & CIO, an investment advisory firm in NY

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