Pfeffer is a 30-year veteran of the securities industry. His career progressed from stock and derivatives broker to branch office manager, regional manager, board member of the parent holding company, and chairman of an affiliated trust company. Since the late '70's, he has consulted on and/or testified in hundreds of arbitrations or litigations. He has expertise in most facets of investor / broker relations, with additional and specialized expertise in derivative instruments - options, stocks, bonds, commodities, futures, including operational and clearance procedures and margin call policies.
The principals of Walsh, Pfeffer have supported investment and trading dispute resolution since the late 1970's. They perform portfolio and trading-pattern analysis, provide "usual and customary" evaluation, ratification, compliance oversight analysis, suitability evaluation, and industry rules and regulations compliance.
Mr. Pfeffer's work has been in support of both defense and plaintiff / claimant parties to disputes, nationally. He produces exhibits and other collateral material designed to simplify that which are often highly complex and arcane systems, procedures, and methodology. He has extensive litigation (jury and bench trials -Federal & State) and arbitration experience.
Background
Q: Have any of your accreditations ever been investigated, suspended or removed? (if yes, explain)A: No
Q: On how many occasions have you been retained as an expert?
A: More than 250
Q: For what area(s) of expertise have you been retained as an expert?
A: Most facets of securities and/or derivatives disputes
Q: In what percentage of your cases were you retained by the plaintiff?
A: Skews from year to year.
Q: In what percentage of your cases were you retained by the defendant?
A: Skews from year to year.
Q: On how many occasions have you had your deposition taken?
A: The bulk of my work is in ADR, i.e. arbitration, wherein depositon is extremely rare. Best guess with respect to being deposed is 6.
Q: When was the last time you had your deposition taken?
A: 2004
Q: On how many occasions have you been qualified by a court to give expert testimony?
A: More than 20.
Q: On how many occasions have you testified as an expert in court or before an arbitrator?
A: More than 150
Q: For how many years have you worked with the legal industry as an expert?
A: Since the late '70's.
Q: What services do you offer? (E.g.: consulting, testing, reports, site inspections etc.)
A: Case evaluation, damages, pleadings preparation.
Q: What is your hourly rate to consult with an attorney?
A: 300
Q: What is your hourly rate to review documents?
A: 300
Q: What is your hourly rate to provide deposition testimony?
A: 300
Q: What is your hourly rate to provide testimony at trial?
A: 300
Q: Please list any fees other than those stated above (E.g.: travel expenses, copy fees, etc.)
A: Direct and necessary out of pocket - usually shipping, travel, lodging.
References
Thomas P. Ward, EsqMcBride, Baker & Coles
Chicago
847-735-8766
J. Pat Sadler, Esq
Sadler & Hovdesven
Atlanta
770-587-2570
Erwin Shustak, Esq
Shustak, Jellil & Heller
San Diego, CA
619-696-9500
Jeremy Rosenbaum, Esq.
Berkman, Gordon, Murray & DeVan
Cleveland, OH
216-781-5245
Michael Lilly
Ning, Lilly & Jones
Honolulu
808-528-1100
