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Insurance Broker Expert Witness TX 535778

Expertise Description

I have 25 years of experience as a practicing attorney focusing on broker-dealers. My areas of expertise include: anti-money laundering; compliance program development and implementation; corporate governance; FINRA rules; fund formation; hedge funds; insurance; investment advising; the Investment Company Act of 1940; legal and regulatory compliance; marketing material revisions; mutual funds; private funds; public and private securities offerings; regulatory exams and inquiries; regulatory filings; the Security Act of 1933; the Securities Exchange Act of 1934; and third-party vendor due diligence. I have provided consultations, deposition, and courtroom testimony for more than 15 years as an insurance broker expert witness.

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Corporate Finance Expert Witness New Jersey 435945

Expertise Description

I have over 50 years of experience in the field of corporate finance. My areas of focus include bankruptcy issues; damage and issues analysis; disclosure issues; due diligence; fee and compensation issues; financing of debt and equity; fraud conveyance; lender liability; leveraged buyouts and recapitalizations; limited partnership financing; mergers and acquisitions; securitization and structured financing; security violations; solvency options; valuations; and venture capital. I have spent more than four decades offering consultations, deposition, and courtroom testimony as a corporate finance expert witness.

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Securities Expert Witness NY 535963

Expertise Description

I have worked in the U.S. securities markets for more than 25 years. I specialize in corporate governance, capital markets, proxy voting, capital markets/IPOs/exempt offerings/ADRs/Private Equity, Securities/SRO/mutual fund/broker-dealer/investment adviser regulation/operations/net capital/customer protection/prime brokerage/short selling/introducing-clearing agreements, financial literacy, contracts, international arbitration, proxy rules/corporate governance/shareholder activism/corporate social responsibility, corporate diplomacy/environmental, social, governance and impact investing, climate change/COP21, state capitalism, family firms, sovereign wealth funds, and geopolitics. I have prior experience offering my services as a securities expert witness.

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Accounting Expert Witness Los Angeles 535656

Expertise Description

I am an experienced accounting expert witness. I have spent over 5 years working in international forensic investigations, economic damage analysis, purchase price disputes, as well as audit and accounting malpractice. I have also worked extensively on audit and accounting malpractice cases involving alleged breaches of Generally Accepted Accounting Principles (GAAP), Generally Accepted Auditing Standards (GAAS), International Financial Reporting Standards (IFRS) and other standards and regulations issued by the PCAOB, AICPA, IRS and SEC. My experience encompasses a wide variety of industries, including real estate, consumer products, retail trade, manufacturing, agriculture, and financial services. I have prior experience offering my services as an accounting expert witness.

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Financial Services/Investments Expert Witness New York 533065

Expertise Description

I am an experienced financial services expert witness. I have spent more than three decades working with risk analytics and investments, due diligence of asset managers including hedge funds that specialize in health care, real estate, technology, L/S equity, distressed, event, volatility, currency/rates, and credit; investment banking & capital raising for health care, bio tech, real estate, technology, and other companies; merging, downsizing and restructuring investment advisory businesses; FINRA; and NFA. I have provided consultations, deposition, and courtroom testimony for over 10 years as a financial services expert witness.

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Securities Expert Witness NH 500800

Expertise Description

I am an expert witness with over 30 years experience in Securities & Investments. I have a particular focus in the areas of Breach of Fiduciary Duty; Failure to Supervise; Suitability; Churning; Inappropriate Asset Allocation; Misrepresentation and Omissions; Registration Violations; Mutual Funds; Annuities; Life, Disability, and Long-term Care Insurance; and Employment Issues. I have prior experience offering consultations and deposition as a securities and investments expert witness.

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Fiduciary Management Expert Witness CA 500388

Expertise Description

I am a fiduciary Management expert with over 20 years of relevant experience. I have an expertise in venture capital, general securities, asset management, governance consulting, financial modeling, and due diligence. I have prior experience offering my services as a fiduciary management expert witness.

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International Finance Expert Witness VA 525135

Expertise Description

With more than 20 years working in finance, I have an expertise in financial management, international finance, investments , portfolio management, financial analysis, emerging markets, risk measurement, corporate finance, and valuation. I have spent over 5 years providing my services as an international finance expert witness.

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Real Estate FL Expert Witness 505428

Expertise Description

I have spent over 45 years working in the fields of real estate and commercial banking. I specialize in selling closely-held, privately-owned companies, arranging financing for complex transactions and consulting for banks and mortgage bankers; complex real estate/banking disputes; FDIC D&O matters; bank board governance; foreclosure; and construction loans. I have provided consultations, deposition, and courtroom testimony for more than 5 years as a real estate and commercial banking expert witness.

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Securities Expert Witness TN 530881

Expertise Description

I have over 40 years of consulting experience in the securities industry with an emphasis in finance. My areas of expertise include life insurance, variable and fixed annuities and estate planning activities, sales management, marketing, product development, legal, compliance, licensing and operations, developing and implementing the annual business plan, New York Stock Exchange, insurance services, and estate planning. I have provided deposition and trial testimony for more than a decade as a securities expert witness.

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Business Law Expert Witness CA(S) 44169

Expertise Description

I am an experienced business law expert witness. My career in the field has spanned over 30 years with expertise in real property, landlord/tenant, securities, oil and gas, bankruptcy, creditor/debtor rights, out of court restructuring, and receiverships. I have provided deposition, courtroom testimony, and consultations for more than 15 years as a business law expert witness.

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Securities Litigation Expert 524564 CT

Expertise Description

I have over 40 years’ experience in securities litigation. I have provided regulatory advice and counsel to broker-dealers, investment banks, and investment advisers. My expertise consists of cybersecurity (conducting cybersecurity audits and working through cyber incidents), federal and state securities laws, including: equity, fixed income and derivatives trading, net capital, short-selling, suitability, record retention, insider trading, cybersecurity, and registration issues. I have spent more than 10 years providing consultations and courtroom testimony as a securities litigation expert witness.

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Investment Banking Expert 523755 CT

Expertise Description

I have over 25 years’ experience in investment banking and capital markets. I have worked with securities and capital markets transactions, capital raising, mergers & acquisitions, restructuring, structured finance, portfolio diligence and acquisition, portfolio management, credit risk management, underwriting due diligence, indemnification, insurance agreements, and seller’s agreements. I have spent more than 5 years offering consultations, deposition, and courtroom testimony as an investment banking expert witness.

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Financial Markets Expert 523065 GA

Expertise Description

I have over 25 years’ experience in financial markets & Fixed Income. I have a focus in securities and commodities disputes, financial and trading analysis, asset-backed (ABS, CDO), mortgage-based (MBS, CMO) securities and derivatives pricing, risk analysis, and damage computation. I have provided consultations, deposition, and courtroom testimony as a financial markets expert witness for more than 20 years.

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Financial Planning Consultant Expert 525237 NY

Expertise Description

I have over 35 years of consulting experience in finance, with an emphasis in financial planning. Expertise includes: insurance and securities products, compliance and institutions, due diligence, DOL, suitability and senior issue supervision, duties of brokers, advisors, Department of Labor fiduciary rules, and life insurance and annuities. Certified Regulatory and Compliance Professional (C.R.C.P.), Global Financial Steward (C.F.S.) I have over 15 years expert witness experience, as well as depositions, and courtroom testimony.

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Securities Industry Expert 521458 IL

Expertise Description

I have over 35 years experience in financial management with a focus in complex securities litigation, including, but not limited to: insider trading, market timing, abusive trading, market manipulation, margin and collateral, failure to supervise, suitability, failure to executive orders, conflicts of interest, breach of contract, expungement, supervision, senior investors, excessive trading/churning, discovery review and recommendations, and forensic accounting reports. I have prior experience as a financial management expert witness and have provided numerous clients with deposition, courtroom testimony, and consultations.

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Financial Management Planning Expert 521458 IL

Expertise Description

I have over 35 years experience in Financial Management with a focus in complex securities litigation, including, but not limited to: Insider Trading, Market Timing, Abusive Trading, Market Manipulation, Margin and Collateral, Failure to Supervise, Suitability, Failure to Executive Orders, Conflicts of Interest, Breach of Contract, expungement, Supervision, Senior Investors, Excessive Trading/Churning, Discovery Review and Recommendations, and Forensic Accounting Reports. I have prior experience as a financial management expert witness and have provided numerous clients with deposition, courtroom testimony, and consultations.

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Securities & Fraud Expert 519953 AL

Expertise Description

I have over 35 years experience in Securities with expertise in investments, Securities, Fraud, stocks, bonds, options, mutual funds, private placements, limited partnerships, options, annuities, FINRA, SEC, suitability, churning, insider trading, unauthorized trading, commissions, arbitration, selling away, trading, and execution. I have spent over 25 years as a securities fraud expert witness with consultations, deposition, and courtroom testimony.

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Business Broker Expert 521595 WA

Expertise Description

I have spent over two decades as a business broker and attorney with expertise in tax valuations and appraisals, Tax/IRS, bankruptcy, estate and gift, wills and transition planning, business valuation, deal structuring, and machinery and equipment appraisals. I am offering my services as a business broker expert witness.

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ADA Visually Impaired Access Expert 521099 GA

Expertise Description

I have more than two decades of experience the field of ADA compliance, both as an attorney, and as a professor. My goal has been to make the ADA/Rehabilitation Act and related laws understandable to employers, governmental entities, businesses, and individuals. I have worked with corporate training and have acted as a Continuing Education Speaker on ADA and/or Rehabilitation Act compliance. I have spent over 20 years working as an ADA compliance expert witness in Georgia and have experience providing clients with consultations and deposition.

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Securities Expert 512836 AL

Expertise Description

My career has spanned more than 35 years in the field of Securities. I have spent most of my time focusing on forensic accounting and damage calculations, among numerous other financial areas. I have also spent over a decade providing consultations, deposition, and courtroom testimony to numerous clients as a securities expert witness in Nevada.

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Architect Expert 518990 CA(S)

Expertise Description

My background of over 45 years as an Architect has been focused on standard of care, construction documents, architectural design and constructability, coordination, delay, construction disputes, contracts, code compliance, land use, and zoning. I have international experience on complex, multimillion dollar projects, including commercial, mixed-use, retail, office, hotel, and institutional. With more than 5 years experience as architect expert witness in Southern California, I have provided consultations and deposition, in addition to courtroom testimony.

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Hedge Fund Expert 519423 NY

Expertise Description

As a hedge funds expert witness in New York with more than 45 years of experience in the field of Capital Markets and Risk, my focus has been on derivatives and capital markets, credit derivatives, structured finance, credit and market risk management and hedge funds. I have additional knowledge in credit analysis and structuring, fixed income sales and trading, foreign exchange, commodities, and risk reporting. My 5 years as an expert witness includes offering consultations and deposition for attorney clients.

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Insurance and Financial Planning Economics Expert 508545 CA(S)

Expertise Description

I have many years of experience in Economics and Financial Planning. I have helped design life and variable insurance products for insurance companies and have created programs and strategies for brokerages across the country. I also teach and lecture on topics such as Financial Planning, Insurance, and Investments and provide consulting and expert testimony in the areas of Insurance, Investment, Financial and Benefit Planning. I have over 10 years of expert witness experience with consultations, deposition, and courtroom testimony.

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Private Equity Expert 500441 CT

Expertise Description

I have more than 20 years experience in the field of Finance with expertise in private equity, alternative asset management and investment banking. I have extensive experience making investments in equity and debt in publicly traded and private companies in the US and internationally. I also have extensive public and private equity investment experience in emerging markets including India, Israel, Central Europe and Latin America, and public and private company board experience. I have prior expert witness experience.

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Private Banking Expert 513370 FL

Expertise Description

I have more than 30 years of experience in the field of International Private Banking with expertise in investment services. I have worked with some of the most well known financial institutions and have been involved with every aspect of wealth management. I understand how financial markets work and the factors that influence investment performance. I have prior expert witness experience.

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Finance Expert 513252

Expertise Description

I have more than 45 years of experience in the Finance industry as a municipal securities financial advisor, special consultant, investment banker (underwriter), and bond and securities lawyer and underwriter counsel. I am a recognized authority on public finance, and in particular, aspects of the municipal bond market relating to municipal securities law, municipal disclosure and due diligence, fiduciary duties, and roles and responsibilities of parties. I have served for more than three decades in the development of disclosure guidelines and due diligence procedures respecting state and local government securities. My municipal securities transactions experience includes the issuance of municipal bonds, notes, leases, certificates of participation and other municipal securities for many types of governmental issuers; workouts and forensic analysis of and litigation regarding defaulted municipal bonds and other troubled municipal securities issues; tender offers; and federal and state enforcement investigations. I have participated in the successful completion of billions of dollars of municipal finance and corporate finance transactions, including representations benefiting more than 150 governmental entities in approximately two-dozen states. I have worked with a substantial diversity of credit types in the market for municipal bond and other municipal securities, as well as numerous corporate credits. I have over 25 years of expert witness experience with consultation, deposition, and courtroom testimony.

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Insurance Expert 406502 AL

Expertise Description

I have over 45 years of experience as a licensed life, health and property and casualty insurance agent, broker, and consultant. These licenses have been issued by examination with continuing education in the fields of life, health, disability, variable annuities, property and casualty insurance and mutual funds. I am an expert in forensic reconstruction of insurance transactions, specializing in policy interpretation of the rules, laws and regulations governing insurance and financial matters. I have over 40 years of expert witness experience with consultation, deposition, and courtroom testimony.

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Fiduciary Duty Expert 310058 AZ

Expertise Description

I have more than 40 years experience with security arbitration. My experience includes: mutual funds, variable annuities, 72T, suitability and fiduciary duty, supervision, churning, asset allocation, misuse of margin, unauthorized trading, hedge funds, pension funds, and analysis cases. I have over 10 years expert witness experience with consultations, deposition, and courtroom testimony.

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Real Estate Mortgage Expert 107615 CA(S)

Expertise Description

I have more than 25 years of experience in Mortgage and Real Estate. I specialize in mortgage fraud, predatory lending practices, lender liability, landlord / tenant disputes, real estate fraud and disputes, real estate disclosures and standards of care, and offering opinions on industry standards and practices. My experience includes litigation consulting in the following areas: plaintiff and defense strategies concerning breach of contract and / or fraud; mortgage fraud litigation; credit underwriting; brokers malpractice issues; title insurance coverage, exclusions, and claims; and commission compensations issues. I have more than 10 years expert witness experience with consultations, deposition, and courtroom testimony.

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Legal Malpractice Expert 27888 CA(S)

Expertise Description

I have over 40 years experience as a trial attorney specializing in legal malpractice, as well as real estate. My expertise includes: attorney malpractice arising out of both litigation and transactions, with a focus on the applicable community standard of care issues; construction defects; probate and trust; real estate broker agency non disclosure issues; negligence and misrepresentation claims; breach of lease agreements; limited partnership disputes; and creditor's rights suits including obtaining writs of attachment, writs of execution, temporary restraining orders, and preliminary injunctions. I have additional expertise on attorney fee disputes; ethics in violation of the California Rules of Professional Conduct; providing expert opinions on standard of care and breach of fiduciary duty claims; real estate disputes; lease agreements; standard of care for real estate brokers; non-disclosures in real estate sales; trust litigation; and will contests. I have more than 10 years expert witness experience with consultations, deposition, and courtroom testimony.

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Mortgage Backed Securities Expert 39505 CA(S)

Expertise Description

I have more than 45 years experience in the field of Insurance and Securities with expertise in marketing, investment, and financial planning. I have experience with annuities, common/preferred stocks, bonds, IPO's, mutual funds, due diligence (investment), variable/index annuities, life insurance/VUL's, L.P.’s, hedge funds, REITS, TIC's, options, REMICS, TINTS, mortgage backed securities & private stock offerings. I have additional knowledge of suitability, fiduciary duty, due diligence, underwriting & supervision, overreaching, churning, selling away, over-concentration/asset- allocation, modern portfolio theory analysis, stock manipulation, best execution, margin, options, mark- ups, mark-downs, on-line trading, RIA activities, control person liability, “financial suicide”, reverse churning, standard-of-care, industry custom and practice plus compliance. I have prior expert witness experience with consultations, deposition, and courtroom testimony.

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Structured Finance Expert 500263 CT

Expertise Description

I have more than 30 years of experience in the Fixed Income Securities and Structured Finance Markets. My experience includes deep knowledge of Asset Backed Securities (ABS), Mortgage Backed Securities (MBS), Commercial Mortgage Backed Securities (CMBS), Collateralized Debt Obligations (CDOs), Asset Backed Commercial Paper (ABCP), Structured Investment Vehicles (SIVs), Due Diligence (Investment), and Breach of Covenants, Broker Responsibilities, Broker Ethics, Credit Risk Management, other Structured Finance products. I have a particularly broad perspective on the market and have worked as a Strategist, Quantitative Analyst, Banker, Rating Agency Analyst, Research Analyst, Collateral Manager, Fund Manager, Chief Credit Officer, Chief Investment Officer (REIT), Salesman, and Investor. I have been on both the sell-side and buy-side of the market (buying and selling billions of dollars of Structured Finance securities) and have a thorough understanding of both the big picture and nuances of the Fixed Income and Structured Finance markets. I have prior expert witness experience with consultation and deposition.

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Securities Law Expert 396731 AL

Expertise Description

I have more than 40 years experience in the field of Law with expertise in corporate, securities, and business law issues. I have experience with complex civil litigation, public and private securities offerings (IPOs, Regulation D, etc), corporate governance, attorney standard of care issues, contract preparation, attorney malpractice, attorney competence, executive employment agreements and compensation, stock options and other equity based compensation arrangements, as well as broker dealer private offerings responsibilities. I have additional knowledge of securities resales (Rule 144), mergers and acquisitions, corporate finance transactions, corporate investigations, and public company reporting and disclosure obligations. I have over 20 years expert witness experience with consultations, deposition, and courtroom testimony.

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Merger And Acquisition Expert 460209 AL

Expertise Description

I have more than 20 years of experience in the fields of Investment Banking and Private Equity. As an Investment Banker, I have advised companies on mergers, acquisitions, and corporate finance transactions. As a Private Equity Investor, I made growth equity and buyout investments in private companies in the healthcare Industry. Currently, as an Mergers and Acquisitions Advisor and Investor, I advise companies on strategic and M&A matters and invest in early stage companies. I have prior expert witness experience with consultation and deposition.

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Ponzi And Insider Trading Expert 350632 IL

Expertise Description

I have over 30 years experience in the field of Securities. My extensive experience includes broker / dealer regulatory compliance and operations and investment advisory and futures fields. My expertise includes insider trading, Ponzi schemes, fiduciary duties, directed brokerage / commission recapture programs, industry customs / practices, and various securities and product types. I have more than 10 years expert witness experience with consultations, deposition, and courtroom testimony.

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Fiduciary And Trust Expert 364583 NC

Expertise Description

I have more than 45 years experience in the Fiduciary and Trust Services Industry. My expertise includes estate management, securities and financial advisement, review of trust accounts, and management of money sales training program. I have over 5 years expert witness experience with consultations, deposition, and courtroom testimony.

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Accounting Fraud Expert 350725 CA(S)

Expertise Description

I have more than 40 years experience in Accounting, Fraud, and Tax matters. I specialize in analysis of profitability, projection of future profits, adequacy of corporate accounting records, investigation of fraud, CPA malpractice, adequacy of tax advice, impact of tax legislation, trust accounting, and accountant’s malpractice. My expertise also includes negligence, punitive damage calculations, fraud claims, analysis of lost profits, partnership allocations issues, estate tax matters, business valuations, effective tax rates, and other issues. I have over 30 years expert witness experience with consultations, deposition, and courtroom testimony.

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Investment Banking Expert 324686 FL

Expertise Description

I have more than 40 years of experience in Investment Banking and Capital Markets. My expertise in corporate finance includes dividend policy, unauthorized trading, churning, and stock repurchase; corporate governance and ethics; securities; mergers, acquisitions, and divestitures; asset gathering; and personnel retention and compensation structure. I have over 25 years expert witness experience with consultations, deposition, and courtroom testimony.

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Life Insurance Expert 359686 CA(S)

Expertise Description

I have more than 20 years experience in life and disability insurance matters, and I specialize in death claims, disability claims, underwriting, agent standard of care, supervision, insurance industry standard practices, insurance industry custom and practice, suitability, and complex transactions. I have been directly involved in the recovery of over $35 million of death claims from several dozen carriers. As an employee of a major life insurer for 13 years, I hired, trained, and supervised the sales activities of 200 agents. I have underwriting experience and am well acquainted with industry standards and practices. I have been an active insurance agent since 1991. I am designated as one of only a few Life and Disability Analysts. As an expert witness I have been named in over 80 matters, testified in several courts, never been disallowed, and have given many depositions.

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FINRA SEC Regulations Expert 361382 WA

Expertise Description

I have over 10 years comprehensive financial advisory experience gained as a registered representative of national wire-houses. I specialize 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. My expertise includes an emphasis on investment analysis and decision-making processes / modern portfolio theory; asset allocation, diversification, risk control / fiduciary standards, investment and spending policy statements / trust and estates; multigenerational strategies, charitable gifting, tax planning and sheltering. My private practice focuses on recommending and implementing efficient wealth management and investment strategies for high-net-worth individuals and institutional investors. I have more than 10 years expert witness experience.

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Commercial Real Estate Expert Witness CT 343562

Expertise Description

I have over 30 years experience in the field of Commercial Real Estate. I have experience with all facets of real estate portfolio, asset, and property management. My expertise includes acquisition, disposition, due diligence (investment), and financing transactions of income-producing real estate as well as leasing and property operations and, real estate-related risk management / insurance and legal matters. I have experience in foreclosure, appraisal review, commercial mortgage workouts, commercial lease negotiations, commercial property condition assessments, and real estate bankruptcy matters. I have extensive experience with shopping center management, easement agreements, slip-and-fall matters, vehicular accidents, third-party torts, etc. I have more than 20 years expert witness experience with consultations, deposition, and courtroom testimony.

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