Bonds Experts
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Expertise Description: Former SEC Enforcement attorney that has served as an expert witness in various matters involving securities regulation and broker-dealer compliance and supervision. Has testified on matters involving private placements including those involving real estate-based investments such as TICs. Expertise includes: major investments frauds, systemic issues in compliance and supervision, and the underlying consideration and policy concerns applicable in investment disputes. Experienced in: California securities laws and/or Finra rules; ponzi schemes... » Read Complete Profile
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Expertise Description: Experienced in all aspects of the financial services industry with unique and unparalleled hands on experience in hedge funds, mutual funds, and investment management. Has been working on Wall Street for more than 15 years and is fluent in aspects of retail and institutional brokerage, the securities markets, and fixed income and equity securities. Throughout his extensive career, he has worked in institutional brokerage, money management, and mutual fund and... » Read Complete Profile
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Expertise Description: Consulting expert specialized in security arbitration with more than 40 years in the field. Experience includes: mutual funds, variable annuities, 72T, suitability and fiduciary duty, supervision, churning, asset allocation, misuse of margin, unauthorized trading, hedge funds, and analysis cases. Has been retained and testified in over 100 cases. One of only a few experts that has been retained by the NYSE Enforcement division (now merged into FINRA). Has also consulted... » Read Complete Profile
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Expertise Description: J.D. - Practicing attorney concentrating on construction contract claims in private and public sectors, including residential communities, casinos, roadways, government property, power generation utilities, and hotels. Specializing in fiscal matters related to surety and fidelity bonding, such as remediation / environmental bonds; subdivision bonds; financial guarantee bonds; and performance / payment bonds, as well as claims handing, statues of limitations, extra-contractual exposure, and requirements for bond claims. Additional expertise and... » Read Complete Profile
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Expertise Description: J.D. - Experienced in claim reviews for quality of handling and consultation on insurance coverage cases including the areas of auto, homeowners, uninsured and underinsured motorist, general liability (CGL), insurance agents and brokers, municipal, school districts, construction, environmental, asbestos, property, bonds, Workers' Compensation, medical and hospital liability. Expert witness on good faith claims handling in casualty and property matters, and on primary and excess insurance... » Read Complete Profile
