Securities & Investments Experts
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Bad Investments, Securities Fraud, Securities Litigation, Events Security, Premises Security, Security, Security and Alarm Systems, Safety and Security, Employment Retirement Income Security (E.R.I.S.A.), Forensic Security, Negligent Security, Security Consultant, Security Negligence, Security Surveys, Security Guard Procedures
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Expertise Description: Experienced in securities and investments. Has more than twenty years of experience at investment firms and more than fifteen years of experience as a consultant and an expert witness. Has qualified as an arbitrator with the National Association of Securities Dealers (N.A.S.D.), the New York Stock Exchange (N.Y.S.E.), the Pacific Stock Exchange (P.S.E.), and the American Arbitration Association (A.A.A.). Prior expert witness experience. Consultations, depositions, and courtroom testimony... » Read Complete Profile
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Expertise Description: R.F.C. - Expert Witness / Consultant in litigation and arbitration, nationally (17 states), involving securities, insurance, annuities and taxation. Expert has been qualified and has testified as a Securities Industry Expert Witness before the State Court in CA and serves as an NASDR arbitrator... » 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: 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: Consulting expert with more than 30 years experience in hedge funds, securities, and investments. In addition to currently serving as Adjunct Professor at the Fordham University Graduate School of Management, has been Adjunct Professor in the practice of finance at Rensselaer Polytechnic Institute and has previously taught finance at Carnegie Mellon, Princeton, and Yale Universities. He is a frequent speaker at hedge fund and investment conferences, and the author of... » Read Complete Profile
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Expertise Description: C.P.A., M.B.A. - Owner of freelance forensic accounting business and contract Associate of civil litigation expert firm in Los Angeles. Expertise in Forensic / Investigative Accounting. Civil case exposure includes breach of contract, negligence, intellectual property, wrongful termination, and personal injury / accident, within sectors such as government agency, defense, manufacturing and distribution, healthcare, insurance, and real estate. Family law knowledge includes determination / tracing of assets, debts and income... » Read Complete Profile
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Expertise Description: J.D. - Consulting expert specializing in finance (especially securitizations and structured finance), derivatives and securities law, with more than 35 years of experience in the field. Structured finance: CDOs (cash, synthetic, and hybrid), CLOs, CBOs, asset-backed securities (ABS), mortgage-backed securities (MBS), asset-backed commercial paper (ABCP), and structured investment vehicles (SIVs). Derivatives: credit default swaps (CDS), interest rate swaps, currency swaps, and commodity swaps. Finance : asset-based lending, secured loans, real... » Read Complete Profile
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Expertise Description: Consulting expert in corporate finance and securities. Expertise includes: corporate governance; fiduciary duty of officers, directors, and majority shareholders; legal malpractice of lawyers; merger and acquisition issues; and violations of securities laws. More than 20 years expert witness experience. Consultations, depositions, and courtroom testimony... » Read Complete Profile
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Expertise Description: Several years of management experience in securities and investment firms. Design, implementation and operation of new business ventures and re-structured entities. Background in operations and compliance, especially within a regulatory environment. Business development, especially as relating to contract negotiations and writing... » Read Complete Profile
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Expertise Description: M.B.A. – Consulting expert in hedge fund strategies, securities selections, and portfolio management. Expertise includes the investigation, detection, quantification, and reporting of financial fraud and asset misappropriations. Extensive experience in trading listed securities, primarily equities and options, as well as analyzing investment instruments. Solely managed a large portfolio (over $800 million) of long / short publicly traded equities. Highly familiar with fiduciary duty requirements. Current adjunct professor teaching Portfolio Management... » Read Complete Profile
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Expertise Description: C.P.A., C.F.E. - Experienced Accountant and Fraud Examiner possessing extensive experience in securities, receivership, real estate, insurance and general business practice. Other areas of expertise include customer/investor collections & distributions, correspondence, tracking, account analysis, preparation of income tax returns, and other specialized reporting requirements... » Read Complete Profile
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Expertise Description: Consulting expert with more than 35 years experience in the field of Securities, trading, and valuation. Financial manager and trader. Has held President and CEO positions in related organizations. Experienced in economic theory, financial derivatives, stock splits / stock price movement, and takeover / merger prices. Over 10 years expert witness experience. Consultations and depositions... » Read Complete Profile
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Expertise Description: Consulting expert specializing in economic, valuation, real estate, and banking matters. Has more than 20 years experience in management at banks, savings & loans, credit companies, mortgage banking companies, and a governmental financial institution regulatory agency. Experienced with duty of care, good faith, bank policies and procedures, business valuation, economic damages, credit card fraud, savings and loan industry standards, truth in lending act, feasibility studies, asset appraisal, financial statements, lost... » 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: C.P.A. - Experienced accountant specializing in accounting, auditing, and income taxes. Has provided expert testimony and consultation in the areas of fraud, embezzlement, shareholder disputes, and complex tax litigation; has acted as an interim executive, board of directors member and advisor in the evaluation of acquisition, divestiture, reorganization and investment opportunities... » Read Complete Profile
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Expertise Description: Has worked in the investment management industry his entire career. Expert in hedge funds, private equity, and traditional asset managers including retail mutual funds, global and institutional money managers, and other buy side firms. Formerly a CEO of a $20 billion investment management firm and a Partner and National Director with a 'Big 4Ÿ? professional services firm; leader of their global Hedge Fund practice. Manages a boutique investment management-consulting firm... » Read Complete Profile
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Expertise Description: Ph.D., C.P.A. - Over 20 years experience bringing a wealth of economics, finance, technical IT, statistical, and accounting knowledge to bear in solving project management, security, insurance, and economic valuation problems. Certified Public Accountant and specialist in forensics, risk, and IT applications. Licensed in Illinois. Renowned expert on Internet marketing, search engine strategy, and the economics of electronic markets. Specialist in computer implementation of advanced trading, finance, risk, and marketing... » Read Complete Profile
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Expertise Description: C.E.B.S, C.F.P., C.M.F.C., C.R.P.S. - Consulting expert specializing in Financial Planning, Employee Benefits, and the Employee Retirement Income Security Act (ERISA). President of a financial planning and employee benefits consulting firm serving clients throughout the U.S. Firm provides advice to fiduciaries and plan sponsors regarding their obligations under Title I of ERISA and litigation support to employee benefit attorneys. The firm is a registered investment advisor and provides investment advice... » Read Complete Profile
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Expertise Description: Expertise in Finance and Corporate Accounting with more than 15 years in the field. Finance experience includes: mergers and acquisitions, due diligence, public stock offerings, public bond offerings, investment management, BOD and executive committee reporting, internal and SEC financial reporting, audit, forecasting and budgeting, internal controls, credit, debt restructuring, and global risk assessment. Real estate experience includes: investment in property, rental and tenant management, evaluation of Home Owner Association, BOD... » Read Complete Profile
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Expertise Description: CFP, CDFA – Consulting expert with over 11 years comprehensive financial advisory experience gained as a registered representative of national wire-houses. Specializes in matters related to investment management by fiduciaries, trustees, personal representatives, and financial consultants, as well as adherence to SEC / FINRA standards of conduct for broker-dealers, registered investment advisors, and their representatives. Emphasis on investment analysis and decision-making processes / modern portfolio theory; asset allocation, diversification, risk... » Read Complete Profile
