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Our trading and securities expert witnesses, professionals and consultants are scholars and researchers from major universities and professionals who have worked in the securities industry for the U.S. Securities and Exchange Commission and various securities investment firms. They have served as experts or consultants for the New York Stock Exchange, Morgan Stanley Dean Witter, and UBS PaineWebber, Inc., among others.

Our trading and securities experts testify regularly in federal and state courts and in arbitrations before the National Association of Securities Dealers (NASD), the New York Stock Exchange (NYSE), the National Futures Association (NFA), and the American Arbitration Association (AAA). In addition, they are prolific authors on such topics as securities regulation, securities fraud, and class-action litigation.

The search results below represent a small sample of the quality and depth of securities expertise in our expert witness network.

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Securities, Finance, Valuation Expert #12652

…I have 30 years of experience, and specialize in the field of securities and finance with specific knowledge in the areas of securities fraud, insider trading and derivative securities. I have published on such topics as insider trading, securities market structure and options. I have testified 12 times on topics such as securities fraud, insider trading and damages….

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Securities, Corporate Expert #14542

…I have 15 years of experience, and specialize in the field of corporate and securities law with specific knowledge in the areas of private offerings, public offerings and SEC reporting. I have published on such topics as The Private Securities Litigation Reform Act, underwriters due diligence obligations and contract law. I have testified 6 times on topics such as…

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Investment, Finance, Securities Expert #14111

…I have 27 years of experience, and specialize in the field of regulatory compliance for securities firms with specific knowledge in the areas of Securities and Exchange Commission and the Financial Industry Regulatory Authority compliance programs, regulatory examinations and investigative litigation support. I have published on such topics as Securities and Exchange Commission independent consultant reports, expert witness reports…

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Securities Expert #11031

…I have 35 years of experience and specialize in the field of investments and securities with specific knowledge in the areas of broker-dealer practices and standards, registered representative training, procedures and standards, and securities and insurance industry products. I have testified 45 times on topics such as securities industry issues….

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Investments, Securities Expert #47421

…I have 15 years of experience, and specialize in the field of investments and securities with specific knowledge in the areas of churning, suitability and RIA activities. I have published on such topics as risk management, compliance and supervision. I have testified 10 times on topics such as suitability, fiduciary duty and RIA activities. I have had experience as…

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Securities Expert #34069

…I have 27 years of experience in the field of financial management with specific knowledge in the areas of taxation, insurance and securities. I have published on such topics as elder care, health insurance and estate planning. I have testified on securities laws, insurance law and elder care….

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Legal Malpractice, Securities Expert #14776

…I have 35 years of experience, and specialize in the field of complex business litigation with specific knowledge in the areas of securities, legal malpractice and reasonable fees. I have published on such topics as securities regulation, complex litigation and attorneys fees….

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Finance, Securities, Fraud Expert #48476

I have 20 years of experience, and specialize in the field of residential mortgage lending and residential mortgage backed securities with specific knowledge in the areas of residential mortgage lending, residential mortgage backed securities and mortgage loan repurchase or put back demands.

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Securities, Class Action Expert #45586

…I have 38 years of experience, and specialize in the field of litigation with specific knowledge in the areas of securities, class actions and medical. I have published on such topics as the legal aspects of starting a business, tax aspects of reincorporation and securities law and the internet. I have testified on criminal conduct. Most all of my…

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Securities Law Expert #7297

…I have 40 years of experience, and specialize in the field of securities law with specific knowledge in the areas of securities arbitration and litigation, administrative proceedings before the SEC and FINRA, and defending litigation brought by the SEC. I have published on such topics as securities arbitration, securities litigation and current securities law and industry developments. I have…

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Securities Expert #3863

…I have 20 years of experience and specialize in the field of finance and securities with specific knowledge of securitization and structured finance, corporate finance and accounting. I have published on such topics as corporate finance, securities damages and accounting. I have testified 20 times on topics such as accounting, Ponzi schemes and securitization….

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Antitrust, Securities Expert #32835

…I have 9 years of experience and specialize in the fields of law and economics, with specific knowledge of antitrust, securities (insider trading) and corporate law. I have published on such topics as corporate and securities law, and antitrust and criminal law….

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Securities, Industry Regulations Expert #25675

…I have 40 years of experience, and specialize in the field of securities with specific knowledge in the areas of industry regulations, administration of an investment firm. I have the unique experience in Canada of having held senior positions on both the Self-Regulation and Member sides of the securities business….

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Municipal Securities Law Expert #7025

…I have 40 years of experience, and specialize in the field of municipal bonds, municipal securities law and municipal disclosure; roles and responsibilities of parties; investigations and due diligence; fiduciary duty with specific knowledge in the areas of due diligence and disclosure relating to municipal bonds and other municipal securities, municipal securities law and disclosure. I have published on…

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Tax, Securities, Fraud, Planning Expert #47948

…and specialize in the field of estate planning with specific knowledge in the areas of generation skipping taxes, qualified plans and individual retirement account distributions planning and laws and trust planning. I have published on such topics as individual retirement account distribution planning. I have testified on fiduciary issues in trust administration, securities fraud and individual retirement account distribution rules….

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Securities Trading and Valuation Expert #6222

…I have 10 years of experience, and specialize in the field of securities with specific knowledge in the areas of securities trading, investment management and suitability and insider trading. I have published on such topics as best execution, NASDAQ market opening process. I have testified 11 times on topics such as insider trading, market efficiency and suitability and money…

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Securities Expert #29680

…I have 22 years of experience and specialize in the field of general securities with specific knowledge in the areas of sales, management and supervision. I have published on such topics as financial planning and manager selection. I have testified on broker due diligence, transfer of accounts and RR supervision….

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Securities Law Expert #12707

…I have 34 years of experience and specialize in the field of securities and general corporate law with specific knowledge in the areas of securities registration exemptions, business and entity planning, and corporate democracy. I have published on such topics as securities exemption planning, limited liability companies and group investing, and entity planning, generally. I have testified 10 times…

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Forensics, Finance, Securities Expert #15747

…I have 25 years of experience, and specialize in the field of forensic accounting with specific knowledge in the areas of securities litigation, valuations and accountants’ liability. I have published on such topics as accounting failures and changes in accounting. I have testified on breach of contract and valuation….

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Damages, Securities, Commodities Expert #38493

…I have 13 years of experience, and specialize in the field of financial markets with specific knowledge in the areas of damages, securities fraud and valuation. I have testified on profit and loss, damages and valuation….

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Investments, Securities, Options Expert #31861

…I have 20 years of experience, and specialize in the field of securities regulation with specific knowledge in the areas of program trading, derivatives and equities. I have published on such topics as markets, numerous reports on trading violations and referred B/D for disciiplinary action. I was an expert and participant in developing procedures and criteria that became the…

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Securities Expert #50965

…I have 34 years of experience and specialize in the field of financial services with specific knowledge in the areas of securities, annuities and insurance. I have published on such topics as ethics. I have testified 20 times on topics such as Freddie Mac, Fannie Mae, due diligence, supervision, suitability and annuities, and life insurance….

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Securities, Valuation, Damages Expert #21659

…I have 13 years of experience, and specialize in the field of economics and finance with specific knowledge in the areas of securities fraud, valuation and labor discrimination. I have testified as an expert witness and has also acted as an independent expert in several mediations….

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Accounting, Securities, Analysis Expert #27304

…I have 22 years of experience in the field of financial services, with specific knowledge in the areas of generally accepted accounting principles and statutory accounting, structured finance, and securities analysis. I have published on such topics as insurance accounting, balance sheet risks, and earnings quality….

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Securities, Stocks, Bonds Expert #34756

…I have 40 years of experience, and specialize in the field of securities with specific knowledge in the areas of stocks bonds, suitability and management portfolio. I have published on such topics as investing in ETFs, investing in the Nasdaq market and investing with Intellignet ETFs. I have testified 7 times on topics such as suitability, portfolio construction and…

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Securities, Valuation, Financing Expert #22255

…I have 25 years of experience and specialize in the field of mortgage investments, with specific knowledge of mortgage securities, valuation or pricing and risk controls. I have published on such topics as market accounting impact on system capital….

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Securities, Banking, Investments Expert #33808

I have 23 years of experience in the field of financial management and brokerage, with specific knowledge in the areas of banking, private client management, and financial…

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Securities, Insurance, Finance Expert #48160

I have 20 years of experience, and specialize in the field of life insurance and life settlements with specific knowledge in the areas of magnetizations, off shore and private placement life insurance. I have published on such topics as asset protection and hedge funds and estate…

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Securities, SEC, Investment Expert #50788

I have 9 years of experience and specialize in the field of financial with specific knowledge in the areas of compliance, mutual funds and account…

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Portfolio Management Expert #1831

…Areas of Securities expertise Financial services Portfolio management Investment management Research Funds management Trading Senior management Educational backgroud MBA in Finance and Accounting, University of Rochester MS in Economics, State University of New York at Buffalo BA in Psychology, State University of New York at Buffalo Experience in field Began career in the investment business as a securities analyst…

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Securities Valuation Expert #49966

…I have 20 years of experience, and specialize in the field of valuation and economics with specific knowledge in the areas of valuation of businesses, intangible assets and securities damages. I have published on such topics as the economics of loss causation, valuation of securities and valuation of intangible assets. I have testified 99 times on topics such as…

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Securities Valuation, Analysis Expert #51218

…I have 30 years of experience, and specialize in the field of fixed income securities with specific knowledge in the areas of residential mortgage-backed securities (RMBS), asset-backed securities (ABS) and risk management. I have published on such topics as mortgage-backed security (MBS) derivatives, adjustable rate mortgages and relative value. I have testified 30 times on topics such as asset…

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Fiduciary Duty, Securities Laws Expert #43554

…I have 24 years of experience, and specialize in the field of corporate and securities law with specific knowledge in the areas of securities offerings, federal and state securities laws and the Investment Company Act of 1940. I have published on such topics as employee compensation, alternative public offererings and corporate responsibility. I was the corporate brains behind a…

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Securities Services Expert #44876

I have 21 years of experience and specialize in the field of financial services with specific knowledge in the areas of securities services, securities finance and mortgage servicing. I have published on such topics as securities lending.

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Securities Regulation Expert #7808

…I have 20 years of experience and specialize in the field of securities regulation with specific knowledge in the areas of what the Securities and Exchange Commission and financial industry regulatory authority rule really require with regards to operational procedures and compliance procedures. I have published on such topics as compliance for small firms and building an efficient and…

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Securities Litigation Expert #43459

…I have 15 years of experience and specialize in the field of complex litigation with specific knowledge in the areas of securities litigation, class actions and credit ratings agency litigation. I have published on such topics as credit ratings agency litigation, federal securities class action trials and international securities litigation….

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Securities And Investments Expert #5735

…I have 27 years of experience, and specialize in the field of securities and investments with specific knowledge in the areas of industry standards and practice, sales practices, and rules and regulations. I have testified 30 times on topics such as suitability, fraud and misrepresentation, and industry standards. Transitioned from a career in law enforcement to one in securities

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Securities Valuation Expert #50637

…I have 15 years of experience and specialize in the field of valuation with specific knowledge in the areas of illiquid securities, business valuation and intangible assets. I have published on such topics as valuation discounts, valuation and fair value. I have testified on restricted securities, illiquid securities and valuaton….

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Mortgage Backed Securities Expert #25300

…I have 20 years of experience and specialize in the field of mortgage-backed securities trading, with specific knowledge of collateralized mortgage obligations (CMO), mortgage-backed securities and asset-backed securities. I have published on such topics as derivatives….

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Securities Litigation Expert #41054

…I have 12 years of experience, and specialize in the field of finance with specific knowledge in the areas of securities, damages and financial markets. I have published on such topics as trends in securities litigation and the cost of proposed tax plans. I have testified 15 times on topics such as market efficiency, damages in securities class actions…

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Insider Trading, Subprime Expert #31178

…I have 15 years of experience, and specialize in the field of securities law and regulation with specific knowledge in the areas of U.S. Securities and Exchange Commission (SEC) regulations, securities litigation and disclosure issues. I have published on such topics as taking a company public, SEC filing requirements and insider trading. I have testified 10 times on topics…

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Regulation, Investigations, Law Expert #39594

…I have 40 years of experience, and specialize in the field of securities prosecution and defense with specific knowledge in the areas of Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and internal investigations. I have published on such topics as securities litigation, securities regulation and arbitration. I have testified 15 times on topics such as definitions…

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Fraud, Variable Annuities Expert #5731

…Areas of Securities expertise Common/preferred stocks Bonds Mutual Funds Variable/Fixed Index Annuities Life Insurance Hedge Funds Mortgage Backed Securities Private Stock Offerings Educational backgroud BA, Speech & Communication, California State College at Los Angeles Graduate, American Institute of Banking School of Finance & Taxation MEMBER, FINRA REGULATION, INC. BOARD OF ARBITRATORS Silber Bennett Financial, Inc..- Series 7, 24, 27*,…

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Short Sales, Leverage Expert #5147

…I have 18 years of experience, and specialize in the field of investment securities with specific knowledge in the areas of operations and compliance, brokerage firm management and brokers management. I have published on such topics as terrorist money laundering via securities, insurance cargo fraud and bank fraud via letters of credit. I have testified 9 times on topics…

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Fixed Income, Rates, Trading Expert #12952

…I have 40 years of experience and specialize in the field of United States capital markets, with specific knowledge of fixed income securities, mortgage-backed securities and equities. I have published on such topics as United States capital markets, mortgage-backed securities and portfolio strategy. I have testified 15 times on topics such as fixed income securities, mark-ups and mark-downs and…

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Securities Regulation Expert #6933

…I have 20 years of experience and specialize in the field of corporate law with specific knowledge in the areas of securities regulation, corporate finance and corporate governance. I have published on such topics as corporate law, securities law and international finance. I have testified on corporate finance, corporate governance and LLC’s….

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Options, Futures & Securities Expert #50967

…I have 28 years of experience and specialize in the field of financial markets with specific knowledge in the areas of options (puts & calls), futures and securities. I have published on such topics as writing call options on convertible preferred securities, collar strategies to hedge high dividend paying stocks and option strategies for mergers and acquisitions….

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Bank Operations Expert #51317

…Areas of lending expertise Risk management Bank operations Governance Securities underwriting Fiduciary duties of bank Stocks and bonds Loan underwriting policies and procedures Educational background Ph.D. Economics, Boston College, Newton, MA National Science Foundation Trainee B. A. Economics, Saint Vincent College, Latrobe, PA Employment history Taught banking related courses for over 40 years. Worked as an expert witness on…

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Securities Regulation Expert #23918

…I have 10 years of experience, and specialize in the field of law with specific knowledge in the areas of securities regulation, corporate law and contract Law. I have published on such topics as securities regulation, corporate law, and economics and morality….

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Securities Litigation Expert #49233

…I have 35 years of experience and specialize in the field of securities litigation with specific knowledge in the areas of trading practices, clearance practices and market structure. I have published on such topics as securities clearance, market structure and short selling. I have testified on brokerage trading….

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Stocks, Bonds, Options Expert #8259

…I have 31 years of experience, and specialize in the field of securities fraud with specific knowledge in the areas of investments, stock markets and securities laws. I have published on such topics as securities regulations, securities arbitration and investors rights. I have testified over 550 times on topics such as investments, portfolio management and stock brokers. It is…

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Securities Fraud Expert #16882

…I have 22 years of experience in the field of securities, with specific knowledge of broker and dealer litigation, broker and dealer regulation, and regulatory filings. I have published on such topics as venue choice, securities fraud, and law office technology….

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Securities Industry Expert #41080

…I have 25 years of experience, and specialize in the field of finance, with specific knowledge in the areas of management and securities industry. I have published on such topics as financial regulation, financial management and securities fraud, and currency markets….

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Corporate Governance Expert #31634

…I have 17 years of experience, and specialize in the field of securities compliance with specific knowledge in the areas of securities law, corporate governance and anti-money laundering. I have published on such topics as corporate governance, credit risk management and anti-money laundering. I have testified on anti-money laundering and securities compliance. I have secured and accepted entry into…

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Regulations, Fraud, Governance Expert #50955

…I have 40 years of experience, and specialize in the field of securities law and corporate law with specific knowledge in the areas of securities disclosure, broker-dealer law and corporate governance. I have published on such topics as securities disclosure, broker-dealer practices and corporate governance. I have testified 15 times on topics such as securities fraud, broker-dealer law and…

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Securities Law Expert #48788

I have 25 years of experience, and specialize in the field of financial markets with specific knowledge in the areas of securities law, financial markets and investment products.

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Audit, Securities Litigation Expert #28528

…regulations. I have published on such topics as accounting, auditing and mortgage credit crisis. I have testified on accounting, auditing and SEC rules and regulations. I am a Certified Public Accountant and Certified Fraud Examiner with more than twenty-five years of experience. I direct the financial reporting disputes group, which encompasses securities litigation, accountants’ professional liability, and corporate internal investigations….

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Antitrust Disputes Expert #38676

…I have 18 years of experience, and specialize in the field of securities, intellectual property, commercial and antitrust disputes with specific knowledge in the areas of securities, financial economics and derivatives. I have published on such topics as commodities, derivatives, futures, options, swaps and forwards, and the OTC derivative market. I have testified 15 times on topics such as…

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Litigation, Antitrust, Securitie Expert #48181

…I have 38 years of experience, and specialize in the field of complex litigation with specific knowledge in the areas of securities, antitrust and consumer law. I have published on such topics as securities legislation. I have testified on attorneys fees. Despite working for a firm representing only plaintiffs and doing only securities, antitrust and consumer cases, I have…

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Corporate Governance Expert #5358

…I have 40 years of experience, and specialize in the field of business law with specific knowledge in the areas of corporate law, corporate governance and securities practice and regulation. I have published on such topics as board composition, short selling and stock borrowing and due diligence. I have testified 90 times on topics such as board and officer…

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Securities Accounting Expert #5289

…I have 25 years of experience, and specialize in the field of accounting with specific knowledge in the areas of U.S. Securities and Exchange Commission (SEC) accounting and disclosure, bankruptcy and international accounting standards. I have published on such topics as the Foreign Corrupt Practices Act, international accounting standards and Sarbanes Oxley….

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Securities Regulation Expert #50422

I have 30 years of experience, and specialize in the field of securities regulation and compliance with specific knowledge in the areas of broker and dealer compliance, investment adviser compliance and investment company compliance.

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Quantitative Securities Analysis Expert #22841

I have 30 years of experience and specialize in the field of quantitative securities analysis with specific knowledge in the areas of hedging and derivatives, damage calculations, and false and misleading statements.

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Securities Exchange Commission Expert #12272

…I have 25 years of experience, and specialize in the field of accounting, Securities and Exchange Commission (SEC) with specific knowledge in the areas of generally accepted accounting principles, generally accepted auditing standards and SEC reporting. I have published on such topics as generally accepted accounting principles, generally accepted auditing standards and SEC reporting. I have testified 25 times…

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Regulations, Investment, Broker Expert #34265

…I have 25 years of experience, and specialize in the field of securities regulation with specific knowledge in the areas of broker dealer regulation, investment adviser regulation and securities compliance. I have published on such topics as finder’s fees, due diligence and selling securities on the Internet. I have testified 75 times on topics such as suitability, supervision and…

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Securities and Corporate Law Expert #48926

…I have 32 years of experience, and specialize in the field of securities and corporate law with specific knowledge in the areas of security offerings, fiduciary duty and remedies. I have published on such topics as fiduciary duty. I have testified on investment contracts and conflict of interest transactions….

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Financial Fraud Expert #38489

…I have 10 years of experience and specialize in the field of financial fraud with specific knowledge in the areas of insider dealing, insider trading, boiler room operations and other types of securities fraud and scams. I have published on such topics as securities fraud, insider dealings, insider trading and stock market abuse. I have testified 12 times on…

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Hedge Funds, Investments Expert #11848

…I have 30 years of experience, and specialize in the field of securities and financial markets with specific knowledge in the areas of hedge funds, mortgage backed securities and foreign exchange. I have published on such topics as hedge funds, risk management and foreign exchange. I have testified 20 times on topics such as hedge fund due diligence, foreign…

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Securities Regulation Expert #13509

…I have 30 years of experience, and specialize in the field of law with specific knowledge in the areas of antitrust, business organizations and securities regulation. I have published on such topics as restrictions on distribution, arbitration and financing start-ups….

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Corporate and Securities Law Expert #50502

…I have 27 years of experience and specialize in the field of corporate and securities law with specific knowledge in the areas of corporate governance, fiduciary duties and corporate transactions. I have published on such topics as the fiduciary duties of independent directors in publicly traded corporations, the failure of fiduciary standards to protect investors adequately, and business planning…

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Securities Compliance Expert #31609

I have 28 years of experience, and specialize in the field of suitability and securities compliance with specific knowledge in the areas of investment dealers, mutual fund dealers and limited market dealers.

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Securities Fraud Expert #19520

I have 20 years of experience and specialize in the field of fraud with specific knowledge in the area of the US Securities and Exchange Commission (SEC).

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Mortgage Capital Markets Expert #30541

…I have 25 years of experience and specialize in the field of mortgage capital markets with specific knowledge in the areas of mortgage-backed securities, structured finance and bankruptcy. I have published on such topics as term asset-backed securities loan facility, commercial mortgage-backed securities and real estate capital markets. I have testified 10 times on topics such as commercial real…

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Economic Damages Expert #13905

…I have 30 years of experience and specialize in the field of valuation with specific knowledge in the areas of business valuation, economic loss and securities. I have published on such topics as intangible valuations, economics and securities. I have testified 19 times on topics such as business valuation, economic loss and securities (public and private)….

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Professional Malpractice Expert #6252

…I have 35 years of experience, and specialize in the field of corporate and securities law with specific knowledge in the areas of private and public offerings of securities, executive compensation, including equity bases compensation and mergers, acquisitions and corporate governance. I have published on such topics as Sarbances Oxley compliance, capital formation and securities law compliance. I have…

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Securities Trading, Retail, Cost Expert #10193

…I have 33 years of experience, and specialize in the field of securities trading with specific knowledge in the areas of equity trading, best execution and insider trading. I have published on such topics as short selling. I have testified on insider trading, mark up and mark down policy and financial projections….

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Compliance, Churning, Raiding Expert #39261

…I have 37 years of experience, and specialize in the field of securities industry practices with specific knowledge in the areas of sales practices, compliance and supervision. I have published on such topics as auction rate securities, limited partnerships, suitability and the applicability of equity in securities arbitration. I have testified 99 times on topics such as supervision and…

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Securities and Banking Law Expert #50687

…I have 15 years of experience and specialize in the field of corporate governance with specific knowledge in the areas of securities law, banking law and insider trading. I have published on such topics as corporate governance, enterprise-wide risk management and diversity practices. I have testified on broker malpractice, safe and sound lending, and veil piercing….

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Origination, Servicing Expert #32574

…I have 15 years of experience, and specialize in the field of commercial real estate finance with specific knowledge in the areas of commercial mortgage backed securities loan origination, servicing and defeasance and tenant-in-common (or TIC) structures. I have published on such topics as commercial mortgage backed securities loan origination, servicing and defeasance and tenant-in-common (or TIC) structures. I…

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Suitability, Insurance, Raiding Expert #50173

…I have 11 years of experience, and specialize in the field of securities with specific knowledge in the areas of supervision, suitability, insurance, branch office management, raiding, and trusts and financial planning. I have published on such topics as variable annuities, hedge funds and variable annuity suitability. I have testified 60 times on topics such as suitability, supervision, securities,…

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Residential Mortgage Securities Expert #50189

I have 27 years of experience and specialize in the field of residential mortgage securitization with specific knowledge in the areas of mortgage bond valuation, mortgage loan analysis, bond trading and mortgage market model building. I have testified on complex mortgage security valuation, mortgage loan and security modeling, suitability of mortgage security investments and mortgage fund operational…

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Investments Expert #730

…I have 25 years of experience and specialize in the field of investments with specific knowledge in the areas of hedge funds, securities fraud and structured finance. I have published on such topics as investments, investing in hedge funds and financial portfolio management. I have testified 15 times on topics such as hedge funds, securities fraud and structured finance,…

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Securitization, Financing Expert #25380

…I have 15 years of experience and specialize in the field of real estate finance, with specific knowledge of mortgage-backed securities, mortgage valuation and real estate valuation. I have published on such topics as valuation of mortgage-backed securities, real estate valuation and real estate financing. I have testified on real estate valuation, real estate financing and public subsidy for…

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Federal Law, Registration, Audit Expert #15482

…I have 41 years of experience, and specialize in the field of federal securities law with specific knowledge in the areas of disclosure, registration and private placements. I have published on such topics as Securities Act Reform, private placements and audit committees. I have testified on management discussion and analysis disclosure requirements….

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Residential Mortgages Expert #50851

…I have 30 years of experience and specialize in the field of structured finance and securitization with specific knowledge in the areas of residential mortgage-backed securities, collateralized debt obligations and credit default swaps. I have published on such topics as ethics in the context of residential mortgage-backed securities (RMBS)….

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Registration, Exemptions Expert #37503

…I have 35 years of experience in the field of securities law, with specific knowledge of registration exemptions, disclosure obligations and liability standards. I have published on such topics as registration exemptions, the business judgment doctrine and disclosure standards. I have testified 15 times on topics such as securities exemptions, disclosure requirements and fiduciary duties….

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Investment Management Expert #7045

…This sample expert has experience as a consultant and expert witness in economic and investment management consulting, economic damage assessment and litigation support on cases involving: investment management fees and practices; tax shelters; securities and investment-related damages….

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Economic Damages Expert #33762

…I have 15 years of experience and specialize in the field of business, intellectual property and corporate securities valuation with specific knowledge in the areas of the valuation of corporate securities, economic damages and the valuation of intellectual property. I have published on such topics as financial valuation, intellectual property economics and the valuation of software inventions. I have…

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Compliance Consulting Expert #9124

…I have 33 years of experience, and specialize in the field of securities compliance and investment advisor compliance with specific knowledge in the areas of Financial Industry Regulatory Authority, Inc. (FINRA) rules and regulations, U.S. Securities and Exchange Commission (SEC) rules and regulations and investment advisor rules and regulations. I have testified 20 times on topics such as FINRA…

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Mortgages, Lending, Hedging Expert #41440

…I have 26 years of experience, and specialize in the field of finance with specific knowledge in the areas of mortgages, mortgage-backed securities and capital markets. I have published on such topics as securities structuring, lending rate generation and loss allocation within RMBS transactions….

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Public Finance Expert #42139

…and public finance, and financial analysis. I have published on such topics as corporate finance, due diligence and disclosure. I have testified 22 times on topics such as investment banking, defaults, standards and practices, disclosure and due diligence, the Financial Industry Regulatory Authority, Inc. (FINRA), the Securities and Exchange Commission (SEC), the Municipal Securities Rulemaking Board (MSRB) and financial analysis….

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Securities Litigation, Duration Expert #4553

I have 29 years of experience, and specialize in the field of investments with specific knowledge in the areas of derivatives, subprime mortgages and alternative investments. I have published on such topics as the causes of the financial crisis, derivatives and CDOs. I have testified 30 times on topics such as unsuitability, churning and fraud. I have maintained…

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Securities Compliance Expert #42724

I have 27 years of experience, and specialize in the field of investments with specific knowledge in the areas of compliance, risk and supervision. I have testified on broker dealer practices, policies and procedures and supervision. I have participated in almost every aspect of broker dealer compliance while advising retail, institutional and trading broker…

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Portfolio Management Expert #26403

…I have 18 years of experience in the field of portfolio management, with specific knowledge of risk management, fixed income portfolio management, and structured product bonds and derivatives. I have published on such topics as derivatives use in portfolio management, inflation-linked securities and asset allocation. I have testified on investments in complex securities, compliance of portfolio management processes and…

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Financial Regulation Expert #32165

…I have 8 years of experience, and specialize in the field of international finance with specific knowledge in the areas of small firm financing, securities laws regulation and sovereign wealth funds. I have published on such topics as hedging, venture capital and securities laws regulation….

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Municipal Bonds Expert #51396

…I have 42 years of experience and specialize in the financial industry with specific knowledge in the areas of securities, municipal bonds and sales supervision. I have testified 75 times on topics such as securities, municipal bonds and sales supervision….

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Wealth Management Expert #46045

I have 30 years of experience, and specialize in the field of securities management with specific knowledge in the areas of wealth management, retail securities and investment advisory.

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Valuation, Analysis, Rates Expert #11569

…I have 18 years of experience, and specialize in the field of financial engineering with specific knowledge in the areas of valuation of mortgage backed securities, interest rate derivatives and counterparty credit risk. I have published on such topics as valuation of interest rate derivatives, mortgage backed securities and counterparty credit risk….

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Commercial Arbitration Expert #45021

…I have 18 years of experience, and specialize in the field of administrative law with specific knowledge in the areas of securities regulation, domain dispute resolution and corporate finance. I have published on such topics as securities arbitration, commercial dispute resolution and retail analytics. I combine two careers which span over a 40 year period both legal and business…

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Consumer Lending Expert #22449

…I have 13 years of experience, and specialize in the field of securitization and financial crises with specific knowledge in the areas of consumer loans, securities valuation and corporate bankruptcy. I have published on such topics as securitization, bank regulation and monetary policy. I have testified 7 times on topics such as firm conditions, class certifications and government policy….

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Financial Fraud Expert #48313

…I have 35 years of experience and specialize in the field of securities with specific knowledge in the areas of supervision, margin trading, ponzi schemes and sections of the Internal Revenue Code and auction rate securities. I have published on such topics as analyst fraud, Schwab Yield Plus Fund and sections of the Internal Revenue Code. I have testified…

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Securities Exchange Commission Expert #34028

I have 23 years of experience and specialize in the field of accounting and finance, with specific knowledge iof GAAP applications, SEC reporting and real…

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Investor Relations Expert #33812

…I have 30 years of experience in the field of corporate disclosure and investor relations with specific knowledge in the areas of finance, communications and securities, laws. I have published on such topics as investor relations and securities laws compliance….

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Valuation, Analysis, Rates Expert #27891

…I have 18 years of experience, and specialize in the field of financial engineering with specific knowledge in the areas of valuation of mortgage backed securities, interest rate derivatives and counterparty credit risk. I have published on such topics as valuation of interest rate derivatives, mortgage backed securities and counterparty credit risk….

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Corporate Governance Expert #23377

…I have 30 years of experience and specialize in the field of corporate and securities law with specific knowledge in the areas of mutual fund and advisory regulation, corporate governance and corporate disclosure. I have published on such topics as the role of directors of mutual funds, implementing an independent chairperson requirement and the adoption of a federal securities

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Bankruptcy, Finance, Litigation Expert #31537

…I have 20 years of experience and specialize in the field of corporate and bankruptcy law, with specific knowledge of corporations, securities regulation and bankruptcy. I have published on such topics as corporate fiduciary duties, bankruptcy claims trading and international securities regulation….

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Credit and Lending Expert #31959

…I have 20 years of experience and specialize in the field of banking with specific knowledge in the areas of credit, lending and securities. I have published on such topics as commercial and residential real estate, lending and underwriting practices and portfolio management. I have testified 10 times on topics such as lending, securities and portfolio management….

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Structured Finance Expert #38594

…I have 20 years of experience and specialize in the field of portfolio management with specific knowledge in the areas of structured finance, fixed income and mortgage backed securities. I have published on such topics as principal preservation in money management, FAS 157 and mark-to-market rules, and leverage in the financial markets. I have testified on securities valuation, liquidity…

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Suitability, Supervision Expert #31053

…I have 40 years of experience, and specialize in the field of securities litigation with specific knowledge in the areas of suitability, supervision and compliance. I have testified 35 times on topics such as those listed above, asset allocation and other securities industry-related topics. I am a former branch manager for a major firm, a FINRA arbitrator, qualified for…

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Fiduciary Mediation Expert #293

…I have 27 years of experience and specialize in the field of investments with specific knowledge in the areas of annuities, securities and life insurance. I have published on such topics as the use of mediation for financial matters, ethics and annuities. I have testified 7 times on topics such as churning, securities and fiduciary responsibilities….

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Securities Analysis Expert #22578

I have 21 years of experience in the field of investments, with specific knowledge in the areas of stocks, bonds, and mutual…

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Broker Dealer Supervision Expert #49960

…I have 17 years of experience, and specialize in the field of broker dealer supervision with specific knowledge in the areas of investment products, securities regulations and financial professional compensation. I have published on such topics as broker-dealer annual compliance training, broker-dealer anti-money laundering training and broker-dealer written supervisory issues. I have testified 30 times on topics such as…

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Global Investment Sales Expert #44022

…I have 35 years of experience and specialize in the field of financial services with specific knowledge in the areas of mutual fund investments, corporate retirement plans and securities processing. I have testified on a securities settlement issue. I have developed and maintained an extensive network of industry contacts and developed a definitive understanding of global markets and the…

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Intellectual Property Valuation Expert #6236

…and specialize in the field of corporate finance and litigation with specific knowledge in the areas of class action litigation, corporate governance and valuation in mergers and acquisitions. I have published on such topics as event studies, valuation and class action litigation. I have testified 9 times on topics such as valuation of fixed income securities, executive compensation and damages….

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Governance, Negotiations, Trust Expert #43588

…I have 15 years of experience, and specialize in the field of accounting with specific knowledge in the areas of delisting regulation, financial reporting and management accounting. I have published on such topics as delisting regulations in Malaysia and China, budgeting and negotiations. I have testified on financial reporting, securities regulations and budget behaviors. Appeared on TV in foreign…

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Behavioral Finance Expert #588

…I have 30 years of experience and specialize in the field of investments with specific knowledge in the areas of behavioral finance, market efficiency and portfolio theory and practice. I have published on such topics as behavioral finance, market efficiency and financial regulations. I have testified 10 times on topics such as securities litigation and market efficiency, suitability, brokers…

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Finance And Accounting Expert #32052

…I have 25 years of experience, and specialize in the field of finance and accounting with specific knowledge in the areas of accounting method choices, financial accounting standards board (FASB), and securities exchange commission (SEC) regulation and valuation. I have published on such topics as a management approach to accounting textbook, management compensation and how to read financial statements….

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Modeling, Valuation, Statistics Expert #26299

…I have 3 years of experience and specialize in the field of financial valuation, with specific knowledge of employee stock options, complex securities and financial modeling. I have published on such topics as business valuation, statistics and modeling….

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Corporate Law, Mergers Expert #568

…I have 36 years of experience, and specialize in the field of corporate law with specific knowledge in the areas of mergers and acquisitions, securities and early stage financings. I have published on such topics as arbitration. A I write blog pieces on a wide range of subjects in a non-political format, as a former director of a mutual…

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Monetary Policy Expert #12227

…I have 25 years of experience and specialize in the field of economics with specific knowledge in the areas of banking, monetary policy and financial crises and scandals. I have published on such topics as banking history, long run securities prices and banking regulation. I have testified on Native American land claims, post-judgement interest and damages….

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Auditing Expert #40359

…I have 25 years of experience and specialize in the field of accounting, with specific knowledge in the areas of auditing, U.S. Securities and Exchange Commission rules, and International Financial Reporting Standards (IFRS). I have published on such topics as fair value, fraud and IFRS….

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Arbitration, Options, Bonds Expert #50094

…I have 25 years of experience, and specialize in the field of securities arbitration and litigation with specific knowledge in the areas of stocks, bonds, futures, options and raiding, and churning, suitability and damage calculation. I have published on such topics as investment research. I have testified 99 times on topics such as suitability, churning, options and raiding of…

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Equity, Debt, Derivatives Expert #39262

…I have 27 years of experience, and specialize in the field of securities and futures with specific knowledge in the areas of derivatives, anti-money laundering (AML), Ponzi schemes, suitability, churning, margin and damages. I have published on such topics as using experts in litigation and options trading. I have testified 17 times on futures trading, over-the-counter trading of precious…

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Equity, Foreign Exchange Options Expert #14893

…I have 30 years of experience in the field of securities markets, with specific knowledge in the areas of equity and foreign exchange options, futures and stocks. I have published on such topics as options, volatility indexes, and executive options….

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Investment Products Expert #48620

…I have 29 years of experience, and specialize in the field of securities with specific knowledge in the areas of supervision, suitability and investment products. I have published on such topics as big brokerages and banks, and the qualifications of investment advisors….

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Trading, Regulations, Finance Expert #35002

…I have 20 years of experience, and specialize in the field of securities with specific knowledge in the areas of investor portfolio evaluation, regulatory issues and sales practice supervision. I have testified 15 times on topics such as investor portfolio evaluations, regulatory issues and sales practice supervision.100% of my past clients have either hired me more than one time…

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Fixed Income Valuation Expert #28503

…I have 4 years of experience and specialize in the field of finance, with specific knowledge of fixed income, investments and financial markets. I have published on such topics as valuation and pricing of fixed income securities, duration and interest rate elasticity, and convergence….

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Financial Services Expert #37978

I have 40 years of experience, and specialize in the field of financial services with specific knowledge in the areas of securities lending, prime brokerage and back office.

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Financial Economics Expert #8050

…experience and specialize in the field of financial economics with specific knowledge in the areas of valuation, competition and antitrust, and real estate. I have published on such topics as competition, price fixing and cartels, property valuation, and corporate and municipal finance. I have testified 15 times on topics such as damages valuation, foregone income, lost profits, securities and statistics….

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Tax, Lost Profit, Forecasting Expert #35964

…I have 25 years of experience, and specialize in the field of finance with specific knowledge in the areas of accounting, tax and law. I have published on such topics as securities law, tax law and finance. I have testified on finance, accounting and tax….

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Project Finance Expert #50059

…I have 25 years of experience, and specialize in the field of corporate financial management with specific knowledge in the areas of project finance, commercial real estate and solar energy. I have published on such topics as commercial mortgage backed-securities….

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Portfolio Administration System Expert #45154

I have 40 years of experience, and specialize in the field of computer sysems control with specific knowledge in the areas of investment management, securities trading and systems development.

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International Finance Expert #39770

…have published on such topics as corporate governance, comparison of international corporate governance regimes, and cutting-edge legal issues related to corporate governance best practices. I have testified on the role of commercial and investment banks in the placement of securities, conflicts of interest in the corporate context of interlocking control, and disclosure isses in connection with merger and acquisition activity….

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Financial Markets, Regulators Expert #39235

I have 23 years of experience, and specialize in the field of accounting with specific knowledge in the areas of futures and options, securities and other financial services firms.

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Structured Finance Expert #38743

…I have 38 years of experience and specialize in the field of structured finance and derivatives with specific knowledge in the areas of collateralized debt obligations, asset-backed securities and credit default swaps. I have published on such topics as the need to revive securitization, a model nonconsolidation opinion and real estate investment trusts. I have testified on structured finance….

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Bond Counsel, Infrastructure Expert #29004

I have 30 years of experience, and specialize in the field of securities law with specific knowledge in the areas of public finance and municipal finance.

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Business and Technology Strategy Expert #31190

…I have 10 years of experience and specialize in the field of financial services business and technology strategy with specific knowledge of banking, securities and insurance. I have published on such topics as anti-money laundering, business continuity planning (BCP) and electronic trading. I have testified 50 times on topics such as financial services….

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Fraud, Churning, Wells Letter Expert #43202

…I have 35 years of experience, and specialize in the field of brokerage law and compliance with specific knowledge in the areas of securities law, commodities law and anti money laundering. I have testified 40 times on topics such as compliance policy, supervision, suitability, brokerage fraud, futures transactions and employee activity….

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Alternative Investments Expert #46934

…I have 14 years of experience and specialize in the field of alternative investments with specific knowledge in the areas of hedge funds and hedge fund of funds, operational due diligence and fraud detection. I have published on such topics as hedge fund strategies and operational due diligence. I have testified on securities fraud….

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Public Policy, Contracts Expert #23228

…I have 20 years of experience and specialize in the field of law and economics, with specific knowledge of corporate governance, banking and financial institutions, and securities. I have published on such topics as banking, corporate governance and insider trading. I have testified 30 times on topics such as market timing and late trading, piercing the corporate veil and…

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Structured Finance Expert #28121

I have 15 years of experience, and specialize in the field of portfolio management with specific knowledge in the areas of mortgage-backed securities, structured finance and economics.

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Financial Services Expert #18898

…I have 25 years of experience, and specialize in the field of economics with specific knowledge in the areas of financial services, credit analysis and mortgaged backed securities. I have over 25 years experience working in a broad spectrum of financial services, as well as institutions affecting financial policy. These have included the Congressional Budget Office in National Security…

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Credit Exposure Calculations Expert #36163

…I have 36 years of experience, and specialize in the field of credit and collections with specific knowledge in the areas of trade credit insurance, risk, stand-by securities and energy contracts. I have published on such topics as energy industry credit policies. I developed a North American energy industry endorsed trade credit policy as the financial cornerstone of the…

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Accounting, Taxation, Healthcare Expert #22339

I have 27 years of experience and specialize in the field of accounting and taxation, with specific knowledge of business accounting, trusts and estates, and securities and risk management.

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Economic Strategy Expert #22739

…I have 25 years of experience and specialize in the field of economics with specific knowledge in the areas of corporate governance, antitrust and securities. I have published on such topics as business strategy, regulation and valuation. I have testified 7 times on topics such as antitrust, regulation and business management….

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Investment, Banking, Finance Expert #45257

…I have 30 years of experience, and specialize in the field of securities with specific knowledge in the areas of investment, banking and finance. I have testified on compliance….

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Loan Servicer Analysis Expert #46327

…I have 10 years of experience, and specialize in the field of residential mortgage backed securities with specific knowledge in the areas of litigation support, creditor rights enforcement and loan servicer analysis. I have testified on mortgage loan pool performance analysis, underwriting of structured finance bond issues and loan put-back disputes….

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Antitrust Expert #45223

…I have 25 years of experience and specialize in the field of economics with specific knowledge in the areas of antitrust and damages. I have published on such topics as mergers and acquisitions, market power and false advertising. I have testified 10 times on topics such as damages, securities fraud and breach of contract….

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Fraud, Analysis, Valuation, Loan Expert #50129

…I have 20 years of experience, and specialize in the field of residential mortgage-backed securities (RMBS) with specific knowledge in the areas of fraud detection, underwriting and credit analysis. I have published on such topics as fraud detection, servicing and defaults. I have 10+ years working for the credit rating agencies Moody’s and S&P and 7 years working with…

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Risk, Control, Marketing Expert #46887

…I have 13 years of experience, and specialize in the field of corporate trust services with specific knowledge in the areas of global custody, operational risk and control and securities operations. I have initiated, scheduled, and monitored training course modules for new employees. I have provided oversight and assistance to team on complex queries. I have written operations procedures…

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Finance Expert #39338

…I have 30 years of experience, and specialize in the field of finance with specific knowledge in the areas of foreign exchange, derivative securities and electricity markets. I have published on such topics as project finance binomial loan valuation, foreign currency borrowing risk management and derivative security pricing. I have testified on foreign currency borrowing risks. The variety of…

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Lending, Underwriting, Credit Expert #50164

…I have 30 years of experience, and specialize in the field of mortgage lending and credit analysis with specific knowledge in the areas of residential mortgage lending, mortgage-backed securities (MBS) investing and mortgage portfolio management. I have published on such topics as the monthly ABX review, mortgage legal issues and new developments in mortgage finance….

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Transactional Corporate Law Expert #37598

I have 10 years of experience, and specialize in the field of transactional corporate law, with specific knowledge in the areas of structured finance, securities laws, and derivtives.

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Corporate Trust Expert #51315

…custom and practice in the industry, and the standard of professional care in the industry. I have published on such topics as corporate trust administration and management. I have testified 45 times on topics such as the role and responsibilities of corporate trustees, custodians and securities agents, custom and practice in the industry, and standards of care in the industry….

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Financial Trading Regulation Expert Witness #1373

…and government agencies (both developed and emerging nations) in North America, Europe, Africa and Asia. Expert on automated trading and trade order management He co-authored the first definitive description of an electronic, limit-order-book system; as well as, books on the issues in the market data business and the future of the securities industry. Expert has prior litigation support experience….

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Intellectual Property Damages Expert Witness #2308

…has consulted and testified on a broad array of accounting, financial and economic issues in matters involving allegations of, among others, alter ego, antitrust, breach of contract, breach of fiduciary duty, fraud, Lanham Act violations, unfair competition, lender liability, patent infringement, trade secret misappropriation, trademark infringement, securities laws violations and unfair competition. He has provided damages analyses on projects spanning…

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Fiduciary Portfolio Management Expert #43494

…I have 40 years of experience and specialize in the field of fiduciary portfolio management with specific knowledge in the areas of modern portfolio theory, prudent investor, and principal and income act interactions. I have published on such topics as total return unitrusts. I have testified on valuing illiquid securities and selecting stocks within a CRUT….

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Capital Transactions Expert #46046

…I have 34 years of experience and specialize in the field of accounting and finance with specific knowledge in the areas of finance department management, capital transactions, and SEC and GAAP reporting. I have testified on investment banking transaction fees and expenses, correct due diligence for capital transactions and securities, and business valuation….

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Finance Expert #30074

…I have 20 years of experience, and specialize in the field of finance with specific knowledge in the areas of commercial banks, securities exchanges, and investment banks. I have published on such topics as bank risk management, market microstructure, and international financial institutions. I have conducted several empirical analyses related to various issues in market microstructure, financial institution management,…

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Regulatory Compliance Expert #50526

I have 20 years of experience and specialize in the field of securities with specific knowledge in the areas of regulatory compliance, industry practices and products.

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Forensic Accounting Expert #28731

…I have 19 years of experience in the field of accounting, with specific knowledge of fraud, asset tracing, international financial fraud, due diligence and attestation, litigation support, and the Money Laundering Control Act. I have published on such topics as tax law and estate tax. I have testified 10 times on topics such as financial fraud, securities fraud, money…

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Corporate Finance Expert #33893

…I have 10 years of experience in the field of finance and economics, with specific knowledge of securities, investment banking and economics. I have published on such topics as financial management and stock market analysis. I have testified on fundraising activities by an unlicensed company, lost wages due to an industrial accident, and stock losses due to ownership dispute….

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Forensic Valuation Expert #39032

…I have 32 years of experience, and specialize in the field of accounting with specific knowledge in the areas of forensic accounting, valuations, financial statement preparation and taxes. I have published on such topics as valuing distressed securities, malpractice issues related to International Financial Reporting Standards (IFRS) and fraud. I have testified 75 times on topics such as financial…

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Structured Finance Expert #42964

…I have 30 years of experience and specialize in the field of structured finance with specific knowledge in the areas of residual valuation, mortgage finance and servicing. I have published on such topics as sub-prime credit. I have testified 6 times on topics such as securities valuation, servicing and charge-off….

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Stock Valuation Expert #27863

…I have 20 years of experience and specialize in the field of accounting, with specific knowledge of stock valuation, event studies and capital markets. I have published on such topics as securities litigation, corporate disclosure policies and stock valuation models….

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Financial Planning Expert #51207

I have 30 years of experience, and specialize in the field of financial planning with specific knowledge in the areas of securities, insurance and annuities.

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Business Valuation, Diversity Expert #11539

…I have 29 years of experience, and specialize in the field of finance with specific knowledge in the areas of business valuation, portfolio performance analysis and financial analysis. I have published on such topics as securities regulation, portfolio performance, and personal finance….

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Systems Control and Reporting Expert #40669

…I have 30 years of experience and specialize in the field of finance and accounting with specific knowledge of process, systems, controls, precious metals and SEC reporting. I have testified on financial statement fraud and securities fraud….

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Mortgages & Derivatives Expert #9235

…I have 25 years of experience and specialize in the field of finance with specific knowledge in the areas of mortgages, derivatives and valuation. I have published on such topics as asset-liability management, derivatives and financial markets. I have testified on capital adequacy, risk management and mortgage securities….

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