Risk analytics, investment advisory operations, and asset manager due diligence inform his work as a financial services expert witness with more than 30 years of experience in investments, credit risk, structured finance, hedge funds, investment banking, capital raising, and financial services compliance. His expertise includes due diligence of asset managers and hedge funds specializing in health care, real estate, technology, long/short equity, distressed, event, volatility, currency/rates, and credit strategies. He has also worked with investment banking and capital raising for health care, biotechnology, real estate, technology, financial services, retail, food service, shipping, and industrial companies, along with restructuring, downsizing, and merging investment advisory businesses. He has provided consultations, deposition testimony, and courtroom testimony for more than 10 years as a financial services expert witness. His expert witness work includes disclosure issues and ratings impact, project finance covenant interpretation, regulatory action involving cease and desist orders, liquidity assessments and rating implications, sophisticated-investor disclosure issues, creditworthiness issues, and interest rates on intercompany loans. He has experience with reports, draft reports, depositions, jury trial testimony, and fact witness deposition work in financial services, credit, investment, structured finance, and ratings-related matters.

His financial services background includes current responsibility for U.S. operations of an alternative asset manager, including broker-dealer, registered investment advisor, commodity pool operator, and commodity trading advisor functions involving FINRA, SEC, CFTC, and NFA compliance. His risk management and rating agency experience includes credit committees for global bond and commercial paper issues, global quality and rating practices, structured finance, financial institutions, sovereigns, investment-grade and speculative-grade corporate credits, and risk analytics tools for investors. His areas of credit and structured finance analysis include residential and commercial mortgage-backed securities, CDOs, CLOs, SIVs, asset-backed commercial paper, consumer receivables, banks, broker-dealers, finance companies, mortgage banks, insurance companies, sovereigns, and corporate credits across health care, technology, real estate, oil and gas, transportation, manufacturing, chemicals, mining, and related sectors. His background also includes testimony to regulatory bodies, including the U.S. Congress, Bank of Japan, Basel Committee, and Ministries of Finance, as well as NFA and FINRA audits, annual AML audits, accounting audits, investment committees, managed futures funds, systematic equity and fixed income strategies, and portfolio structure recommendations.