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.

Areas of Expertise


Expert Witness

I have provided testimony to regulatory bodies globally including the U.S. Congress, Bank of Japan, Basel Committee, and many Ministries of Finance. Instructed numerous large and sophisticated investors in complex securities and risks associated therewith.


Relevant Experiences

I am President and CEO of business that is an SEC/CFTC registered investment advisor and broker dealer. Supervisor entities include FINRA and NFA.

I have experience in merging, downsizing and restructuring investment advisory business, plus have been involved in the evaluation of investment advisors for merger purposes.

Further experience includes investing in life science businesses, e.g., hedge funds, from a fund of fund perspective.

On the broker dealer side, involved in representing investment advisors and investment platforms to clients. Evaluating from a valuation perspective is part of the process.



SELECT EXPERT