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.

Areas of Expertise


Degree Subject Institution
J.D. New York Law School
B.A. ECONOMICS New York University

Licenses Certifications

Columbia Law School/Chartered Institute of Arbitrators, Certificate in International Commercial Arbitration
New York City Bar Association, Basic Mediation Training
Governance & Accountability Institute, Certification Course: ESG, Sustainable and Impact Investment Training
Association of Certified Antimoney Laundering Specialists, Certified Member
Chartered Institute of Arbitrators, International Commercial Arbitration Training Program; FCIArb Fellow

Awards & Affiliation

Member of the New York and Connecticut Bars
Fletcher Network for Sovereign Wealth and Global Capital
The Bretton Woods Committee
Foreign Policy Association

Primary Affiliation

Member of the New York and Connecticut Bars