Mr. Ober (CFE and AIFA) is an expert on suitability, due diligence, fraud, fiduciary matters, private placements, selling away, Internal Revenue Code Section 165, and damage calculations. He has provided assistance in over 150 cases, representing plaintiffs and defendants. Mr. Ober is a Certified Fraud Examiner and Accredited Investment Fiduciary Analyst, and is an Arbitrator with the FINRA (formerly NASD and NYSE)(Chairperson trained) and the NFA, and he is a Certified Mediator.
Background
Q: Please list your professional accreditations, degrees, licenses, and certificates granted:A: -Accredited Investment Fiduciary Auditor
Katz Graduate School of Business
University of Pittsburgh
-Master of Business Administration (attended)
City University of New York
-Masters Program (attended)
The Sorbonne, University of Paris
-Bachelor of Arts
Wesleyan University
Q: Please list your affiliations or memberships in any professional and/or industry organizations:
A: Advisory Panel for the Accredited Investment Fiduciary and Accredited Investment Fiduciary Audit Designation
Financial Planning Association
Associate Member, Association of Certified Fraud Examiners
Q: Please list any teaching or speaking experience you have had, including subject matter:
A: Guest Lecturer, Albany Law School, on suitability, fiduciary responsibility and role of an expert witness
Lecturer to Financial Professionals, on the due diligence
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: Over 100
Q: For what area(s) of expertise have you been retained as an expert?
A: Due diligence, suitability, selling away, fraud (10b-5), partnerships, private placements, asset allocation
Q: In what percentage of your cases were you retained by the plaintiff?
A: More than 50%
Q: In what percentage of your cases were you retained by the defendant?
A: Less than 50%
Q: On how many occasions have you had your deposition taken?
A: Available upon request.
Q: When was the last time you had your deposition taken?
A: Available upon request.
Q: On how many occasions have you been qualified by a court to give expert testimony?
A: Available upon request.
Q: On how many occasions have you testified as an expert in court or before an arbitrator?
A: Available upon request.
Q: For how many years have you worked with the legal industry as an expert?
A: Since 1980.
Q: What services do you offer? (E.g.: consulting, testing, reports, site inspections etc.)
A: Consulting; review legitimacy of claim; render continuous litigation support; assist in the discovery process, such as analyzing the opposition's discovery requests, anticipating issues and questions, recommending questions in depositions; and review arbitrators
Q: What is your hourly rate to consult with an attorney?
A: - Available upon request.
Q: What is your hourly rate to review documents?
A: - Available upon request.
Q: What is your hourly rate to provide deposition testimony?
A: - Available upon request.
Q: What is your hourly rate to provide testimony at trial?
A: - Available upon request.
Q: Please list any fees other than those stated above (E.g.: travel expenses, copy fees, etc.)
A: Available upon request.
