Securities Expert Witnesses
Business, Financial & Marketing Expert Witness Listings
You will find securities expert witnesses consultants by clicking on one of the following categories. The experts found here may consult regarding 102(e) proceedings, asset-backed securities, and collateralized debt obligations. These professionals may provide reports on commodities, commodity futures, credit default swaps, and credit derivatives. They may also testify regarding debt securities, derivative instruments, divestitures, equity securities, fixed income securities, futures, hedge funds, investments, mortgage-backed securities, the NASD, stock options, preferred stock, public offerings, securities 10b5 actions, securities regulation, securities fraud, structured finance, and surety bonds, as well as related topics.
Areas of expertise include Broker/Customer disputes--stocks and bonds; options, commodity futures and currency trading; derivatives including swaps; limited partnerships, hedge funds and managed futures, e.g., suitability, churning, unauthorized...
Retired in August of 2000 after 41 years at Merrill Lynch. Began as financial consultant and managed offices in Manhattan, Phoenix, and Beverly Hills. Also served as regional Sales Manager for New York, New Jersey, and Connecticut. Have extensive...
25 years experience; Accredited Investment Fiduciary Auditor; any investment, account, asset, insurance, annuity, intellectual or real property may require fiduciary duty. NASD Rule 2310, NYSE Rule 405; Trusts; UPIA; ERISA Pension, Profit Sharing,...
Location: New York
Areas of Expertise: Although there are many public accounting firms that offer some level of Litigation Support and Valuation Services, the one thing that distinguishes Parente Randolph from the others is that the firm has invested heavily in this area to be sure to...Location: California
Areas of Expertise: Steve R. Lee is an expert in forensic economics / forensic accounting. He specializes in high-stakes, complex commercial matters including fraud investigation, business regulation, class action defense, transaction advisory services, loan workouts,...Location: Texas
Areas of Expertise: Certified in Financial Forensics – selected by the U.S. Senate as its only investigative accountant for Whitewater. Reviewed documents related to the audit of Swiss banks for holocaust victims’ assets. Accounting Expert Witness since 1994....Location: California
Areas of Expertise: Expert testimony on investment matters involving fiduciary issues, trusts, and brokerage accounts; Review of investment matters, with supporting computer quantifications; Thorough examination of account management as to risk assessment and standards...Locations: Multiple Locations
Areas of Expertise: ForensisGroup, Inc. is a multi-disciplined expert resource group uniquely structured to provide you with high quality experts as expeditiously as possible. It is your ultimate source of experts since 1991! Thousands of our clients have gained the...Location: New York
Areas of Expertise: I am expert in the monoline bond insurance industry, particularly in the underwriting and surveillance of municipal and structured finance bonds insured by companies such as SCA, XLCA, MBIA, FGIC, Ambac, FSA, Assured, CIFG, Blue Pt Re, Ram Re and...Location: Kentucky
Areas of Expertise: Our years of experience, as bankers, as bank consultants, and as regulators provide valuable insight into case matters. We can assist both from the industry perspective, and from the regulatory perspective, offering a comprehensive assessment and...Location: New York
Areas of Expertise: Mr. Ober is an Accredited Investment Fiduciary Auditor, with experience as an expert witness and consultant in customer/broker-dealer disputes, fiduciary duties, selling away, 10b-5, due diligence, suitability, duty of care, partnerships and damage...Location: Colorado
Areas of Expertise: Peters and Associates LLC provides services in: - Forensic economics, antitrust, finance and statistics - Corporate / business practice - Investments in stocks, bonds, futures, options - Mutual, hedge and managed futures funds Extensive business...Location: Florida
Areas of Expertise: Ronald F. Worst provides over 13 years of private practice expertise in his areas of study as a security expert witness and fraud examiner. In addition, he is a noted speaker, educator, author, and radio personality in presenting his knowledge and...Location: California
Areas of Expertise: Mr. Dinehart, RFC is an NASD Arbitrator and expert witness in securities arbitration and litigation. With nearly four decades of industry experience, he has been a branch manager for 3 securities firms. With over 600 retentions, he has testified in...Location: New Jersey
Areas of Expertise: Mr. DiGabriele is managing partner of DiGabriele, McNulty, Campanella & Co., LLC, Certified Public Accountants and Consultants. He has been actively engaged in the practice of public accounting for over 10 years and has practiced in the areas of...Location: North Carolina
Areas of Expertise: Trust and estate administration litigation consulting and expert witness services. Issues addressed include trust mismanagement, income and remainder beneficiary rights, trust investments, regulatory compliance and breach of fiduciary...Location: New York
Areas of Expertise: Mr. Leventhal has over 30 years of professional experience providing tax, auditing, litigation services, forensic accounting and expert witness services. Mr. Leventhal acts as a consultant to tax payers and attorneys for tax examinations including...Location: West Virginia
Areas of Expertise: Professor Abbott received his M.B.A. (Finance) at Virginia Polytechnic Institute and State University (VPI), Blacksburg, VA, in 1984, followed by a Ph.D. in finance, also at VPI, in 1987. His Ph.D. dissertation title was "The valuation effects of tax...Location: Texas
Areas of Expertise: Preparation of valuation reports since 1985 for Exit Planning, Estate & Gift Tax, Buy/Sell Agreements, Adequacy of Life Insurance, Economic Loss Analysis, Partner Disputes, Dissenting Shareholder Actions, Disruption of Business & chief...Location: Massachusetts
Areas of Expertise: Dr. Jennings is an experienced economic consultant and expert witness with a B.A. in economics (magna cum laude) from Harvard College and an M.A. and Ph.D. in economics from Stanford University. His experience includes academic teaching and research...Location: Oregon
Areas of Expertise: Jacqueline A. Joseph, B.A., CDE. Certified and court-qualified since 1992, Ms. Joseph has conducted handwriting research and published numerous papers in scientific journals pertaining to questioned document examination and handwriting...Location: Virginia
Areas of Expertise: Bulk Liquid Terminal Consultant for over 30 years; experience at over 500 aboveground tank terminals in 43 states. Qualified for environmental, safety, health, fire, explosion, variance, loss, and security matters. Clients have included the U.S....Location: New York
Areas of Expertise: Mr. Micciche has been a Chief Compliance Officer for 25 years and a securities and insurance regulatory consultant for over 15 years. He has testified in state and federal court and numerous FINRA and NYSE arbitrations. Areas of expertise include...Location: California
Areas of Expertise: Sub Prime Non Agency Mortgage Loan Matters Mortgage Asset Backed Securitization By Maher Soliman Expert Witness/ Due Diliegence You will find our firm to be a competent expert witnesses who will provide support for financial argument needed for...Location: Florida
Areas of Expertise: I have over 20 years experience in the Hedge Fund arena backoffice, trade processing, brokerage operations and compliance , regulatory filings and fund administration.Location: California
Areas of Expertise: Mr. Jacobson offers an impressive record of success as an expert witness in real estate, business and finance. Included among the numerous cases in which he has testified as an expert witness are disputes over the interpretation of real estate...Location: California
Areas of Expertise: Robert Doty has been involved in the finance industry as a financial and legal expert for more than 35 years. As President of American Governmental Financial Services Company (AGFS), he is a financial advisor to municipal securities issuers, and is a...Locations: Florida and Michigan
Areas of Expertise: Mr. Peter Burgher has extensive background in IRC Subchapter C, merger, and acquisitions, venture capital and business finance. Mr. Burgher's areas of expertise include Accounting matters, Audit failures, Cost determination, Insurance claims,...Location: Nevada
Areas of Expertise: Greg Wood, an articulate securities expert witness, combines 35 years as a securities industry professional with five years of litigation consulting to help clients succeed in arbitration or court. His business, Securities Litigation Support, LLC,...Location: New York
Areas of Expertise: Craig A. Wolson has practiced law for over 30 years, primarily in New York City. He specializes in finance, derivatives, securities and corporate matters. He recently stepped down as Chairman of the Structured Finance Committee of the New York City...Location: California
Areas of Expertise: Robert Trout is a financial economist with over 30 years of experience in providing economic, financial and statistical consulting services to clients. Dr. Trout has testified in federal and state courts and before federal and state regulatory...Location: Illinois
Areas of Expertise: 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....Location: Georgia
Areas of Expertise: Expert in business valuation and intellectual property. Willamette Management Associates has been a premier firm in the valuation profession for over 40 years. Curtis Kimball, CFA, ASA, is Managing Director of Willamette's Atlanta regional...Location: Florida
Areas of Expertise: Michaelson & Co., P.A. is a specialty firm that handles the forensic accounting needs of law firms and businesses. The Firm handles criminal financial investigations, including money laundering and financial schemes, civil and personal damage...Location: California
Areas of Expertise: Errold F. Moody, Jr.. has the most extensive background in Financial Planning in the United States (Ph.D., MSFP, MBA, LLB, BSCE). Mr. Moody has over 36 years of hands-on experience as a financial and real estate consultant to various title companies,...Location: California
Areas of Expertise: Mr. Neches areas of expertise are: Expert Testimony Forensic Accounting Business Valuation Computer Database Analysis Certified Public Accountant Certified Valuation Analyst Certified Fraud Examiner Accredited in Business Valuation Damages Lost...Location: New Jersey
Areas of Expertise: Steve Pomerantz LLC provides litigation support on cases involving: - Securities and investment related damages - Investment performance and suitability - Options and derivative valuation - Asset allocation analysis - Event studies - Investment...Location: California
Areas of Expertise: Dr. Jules Kamin received his Ph.D. in business economics, finance and management science from the University of Chicago Graduate School of Business, rated #1. He is an expert on economic damages and economic/financial aspects of liability. He brings...Location: New York
Areas of Expertise: Robert W. Berliner consults with litigators and provides expert testimony in a wide variety of cases. His specialties include securities litigation, accounting malpractice and forensic investigations. His is one of few CPAs, if not the only one to...Location: California
Areas of Expertise: Active in the securities industry for 26 years as a Broker, Branch Office Manager, Regional Director and Member of the Board of Directors of Smith Barney. Expert witness for 16 years with over 1200 retentions and 400 appearances. Have testified in...Location: Illinois
Areas of Expertise: Adam Warren is Managing Director in the Dispute & Legal Management Consulting Practice at Duff & Phelps. Adam specializes in Financial Services industry issues with an emphasis on: valuation, compliance and trading of financial, commodity and complex...Location: New York
Areas of Expertise: Stuart Baxter, employment and compensation expert witness and consultant, has over 30 years Human Resources experience based in the financial services industry. He specializes in compensation and benefits, especially executive packages including...Location: Colorado
Areas of Expertise: Dr. Bhagat is a nationally recognized expert on lawsuits concerning governance aspects of the subprime crisis, valuation of private corporations, valuation of employee stock options, corporate governance, and impact of litigation on corporate value....Location: Pennsylvania
Areas of Expertise: Analysis & Inference, Inc. provides authoritative statistical and consulting services nationwide to corporations, government agencies, law firms, and other organizations. A&I is allied with Quantitative Analysis of New York City...Location: California
Areas of Expertise: Expert witness testimony in complex litigation involving business, real estate, personal injury, marital dissolution, liability issues, damage analysis of lost profits, unjust enrichment, reasonable royalties and lost earnings, valuations, and fraud...Location: New Jersey
Areas of Expertise: Mr. Onefater, CPA, has worked in the investment management industry his entire career in various roles including as a Chief Executive, Chief Financial and a Chief Operating Officer for a $19 billion investment management firm. He was a National Hedge...Location: California
Areas of Expertise: Litigation Cost Management (LCM) provides expert legal fee analysis for both clients and law firms across all areas of civil litigation, including patent and other intellectual property, insurance coverage, fee-shifting and common fund cases, fee...Location: California
Areas of Expertise: I have served as an expert witness or consultant in numerous matters involving life insurance, annuities and investments, involving inappropriate or unsuitable investments, compliance issues, agent or broker error, fraud, and professional...Location: California
Areas of Expertise: MCS Associates is a national consulting group with a special focus on Expert Witness and Litigation Consulting in banking, insurance, financial services, securities, real estate, economic & damages analysis, and forensic accounting. The firm has...Location: New York
Areas of Expertise: Expert Witness in Financial Services Litigations; NASD Arbitrations; Extensive knowledge of People Process, and Technology in Financial Institutions; Detailed understanding of Investment Management; Expert in all aspects of Financial Risk Management...Location: Illinois
Areas of Expertise: Roger J. Grabowski, ASA, is a Managing Director of Duff & Phelps, LLC. He was formerly a Managing Director of Standard & Poor’s Corporate Value Consulting practice and before that a partner of PricewaterhouseCoopers LLP and one of its predecessor...Location: New York
Areas of Expertise: I have over 30 years experience in the financial services (securities) industry, including all facets of product development, sales, compliance and operations.Securities Expert Witnesses by State
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- West Virginia,
- Wisconsin,
- Wyoming