Compliance Expert Witnesses
Compliance expert witnesses and consultants listed here may be able to form expert opinions, draft expert witness reports, provide expert witness testimony at deposition and/or trial as or serve as consulting (non-testifying) experts on compliance. The compliance expert witness listings on this page are typically from fields/areas of expertise such as: Accident Reconstruction, Accounting, Aviation & Aerospace, Banking, Business Operations, Cannabis, Chemistry & Chemicals, Critical Care Medicine, Cryptocurrency, Dram Shop & Alcohol Services, Emergency Medicine, Financial, Forensic Science, Health Informatics, and Human Factors.
Justin Maile
CipherBlade
Anchorage, Alaska
Cryptocurrency
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blockchain, bitcoin, ethereum, theft, fraud, SIM swap, NFT, investment scam, ponzi scheme, smart contract, pig butchering, digital asset discovery, ransomware, compliance, crypto
Justin Maile is an expert in cryptocurrency investigations and forensic analysis. He has trained and led a team of the best cryptocurrency analysts in the world at Chainalysis before leading the team at CipherBlade. Over the last 7 years Justin has supported some of the most impactful cases to affect the crypto industry involving dozens of SIM swap cases, most of the crypto exchange hacks, numerous smart contract exploits, multiple ponzi schemes with total losses in the billions of dollars,
multiple strains of ransomware, assisted international law enforcement with the takedown of illicit services including child abuse sites, darknet markets, money laundering, malware as a service, and others, and has lead the investigations into hundreds of "pig butchering" and other romance and investment scams. More recently Justin has focused on supporting civil litigation cases like digital asset discovery for divorce cases, bankruptcies, estate management cases involving crypto, and has been ...
Darriell J Bone
Independent Workplace Solutions LLC
Queen Creek, Arizona
Police Practices & Procedures, Law Enf & Criminal Justice
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Use of Force, Excessive Force, Civil Rights, Police, Misconduct, Consulting, Internal Affairs, Harassment, Policy, Constitutional Policing, Compliance
Darriell Bone is a retired 20-year law enforcement professional with extensive experience in internal investigations, having investigated or managed more than 3,000 internal investigations. He served as a commander for the Professional Standards Bureau at a large law enforcement agency, where he managed high-volume complex investigations and provided innovative guidance and supervision to internal investigators.
After Mr. Bone’s retirement with law enforcement, Mr. Bone worked on the executive team as the External Force Investigation Team Lead Supervisor for DLG Consulting & Advisory Services, providing constitutional policing/police reform services to the Albuquerque Police Department.
Mr. Bone has received various certifications and training in areas such as use of force, deadly force, OIS investigations, force encounters analysis, advanced interview and interrogation, internal affairs, general instruction, firearms instruction and detective certification.
Mr. Bone's exper...
Alex AKulikov, MS, Certified Financial Crimes Specialist, GAAP, PMP
Forensic, Risk and Financial Crimes Expert Witness
Expert CA
Dublin, San Francisco, Sacramento, Los Angeles, California
Financial, Forensic Science
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Financial crimes, Forensic examination, Money laundering, Negligence, Forensic accounting, Identity theft, Fiduciary duty, Breach of contract, Money laundering, Cybersecurity, Misappropriation of funds, Bribery, Compliance, Risk Management, Fraud, Corruption, Sanctions, Tax evasion, Delays, RICO
Mr. Alex Kulikov, M.S. (Master of Science), CFCS (Certified Financial Crimes Specialist), GAAP (General Accounting), PMP (Project Management Professional) is a risk management, compliance, white-collar crime, forensic examination and financial crimes prevention consulting professional with nearly 30 years of corporate and private consulting, serving over 200 clients across the U.S., Canada, Germany, Netherlands and Italy.
Among his proven consulting proficiency in financial, construction, health, technology and other industry claims are matters involving risk management; general financial analysis; forensic examination; breach of contract; dispute resolution; data analytics; general accounting (GAAP); due diligence; standard of care; fiduciary duties; negligence and liability claims; AIA and general conditions; procurement risk management; analysis of schedule delays and impacts; budget and cost analysis; general conditions and code compliance; LEAN management; project methodologie...
Stanford R Brown, B.Sc., CSP, CSHP, CRSP, CHSC
Raising the Standard Consulting (USA) Inc.
California
Safety, OSHA
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Construction, Mining, Workplace Inspections, Crane, Rigging, EM 385-1-1, First Aid/CPR/AED, General Industry, Accident Investigation, Safety Training, Compliance, Workplace Conditions, Fall Protection, Powered Industrial Trucks, Machine Guarding, Excavation, Trenching, Scaffolds, Multi-Employer
Stanford R. Brown, B.Sc., CSP, CSHP, CRSP, CHSC, has over 30 years of experience managing safety and health for various projects.
He has been involved with multiple construction safety/OSHA cases as an expert witness.
A sampling of the expert witness cases he has been involved with include:
• Workplace injury at refinery construction project.
• Worker fatally electrocuted during a paving incident.
• Construction training and safety standards for power tool injury.
Safety and Slip Trip & Fall, EM 385-1-1, OSHA, (SSHO), Competent Person, First Aid/CPR/AED Instructor Trainer, Certified Safety Professionals (CSP) designation with the Board of Certified Safety Professionals, Certified Safety and Health Professional (CSHP) in the State of Hawaii.
Construction and General Industry, Accident Investigation, Fall Protection, Forklift, Aerial Lift, Boom Lift, Scissor Lift, Machine Guarding, Amputation, Struck By, Caught Between, Scaffold, Ladder, Roofing Safety, Amputation, Excavation/T...
Bill Burch
San Marcos, California
Real Estate, Banking
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Mortgage Lending, Standard of Care, Compliance, TILA/RESPA Regulation, Disclosure, HAMP/Modification, Foreclosure, Underwriting, Residential, Loan Servicing, Real Estate/Mortgage Fraud, Financial Elder Abuse, CA DRE/NMLS Licensing
I have been in the mortgage industry for over 30 years, serving as a loan officer, branch manager, and area vice president. During this time, I have developed a strong base of knowledge and experience in many areas of the mortgage industry. On the origination end, this includes application, disclosure, processing, underwriting, appraisal, & funding. On the servicing end, this includes payment servicing, escrow accounts, modification, HAMP, and foreclosure.
I am able to study a case file quickly and thoroughly, and establish a defensible opinion. My writing skills yield a strong written report. And, my public speaking and discussion skills present well in deposition and trial.
Peter John Ingersoll, CCIM
Safe Harbour Equity, Inc.
Oceanside, California
Cannabis, Securities & Investments
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Cannabis, marijuana, banking and financing, receiverships, bankruptcy, FINRA, syndication, 1031 exchanges, investor disputes, securities fraud, breach of contract, breach of fiduciary duty, investor lawsuits, unregistered securities, investor fraud, shareholder disputes, governance, compliance
Cannabis real estate and investment thought leader.
Managing director and cannabis product chair for Sperry Commercial Global Affiliates, the first national real estate firm to embrace cannabis as legitimate investment sector.
Expertise in cannabis including breach of contract issues, breach of fiduciary duty, financing & private equity, governance documents, 1031 exchanges, sale-leasebacks, broken development deals, partner disputes, receiverships (bankruptcy is not available for cannabis enterprises), investor disputes, and unregistered securities litigation.
Former Series 65 registered investment advisor.
Graduate of Wharton School – University of Pennsylvania - BS of Economics.
Co-Captain of the wrestling team
ross S sagun, ATP
40+ years as an airline pilot and safety expert
Sagun Aviation Consulting
Benicia, California
Aviation & Aerospace, Human Factors
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Decision Making, Airline Operations, General Aviation, Training, FAR’s, Incident Investigation, Operations, Compliance, Pilot Error, Crew Performance, Pilot Fatigue, Crew Resource Management (CRM), Situational Awareness, Turbulence Injuries, Passenger Disruptions, Navigation and Communications
Highly experienced recently retired airline pilot and aviation safety representative with more than 50 years of flight experience and approximately 30,000 domestic and international flight hours in both major airline and general aviation aircraft
Former air traffic controller, international air safety representative involved in aviation rulemaking, flight instructor, general aviation aircraft owner and operator
FAA licensed pilot since 1972
Experienced major-airline captain for 28 years, 19 years as captain in widebody aircraft
Areas of expertise include Federal Air Regulations (FAR) Part 121 airline and air traffic control operational safety issues, flight operations, standard operating procedures, regulatory and flight operations manual compliance, crew performance and coordination, cockpit-related human factors issues, crew resource management, turbulence injuries, procedural compliance, aircraft limitations, navigation and communications procedures, and best practices
Extensiv...
Natalie Spiteri-Soper, Psy.D
Expedient Medicolegal Services
Long Beach, California
Psychology, Nursing Home Administration
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Pediatric and Adolescent Inpatient Standard of Care, Regulatory Operations, Compliance, Oversight, Budget Implementation, Restraint and Seclusion, Employee Evaluation, Film Consultant, Social Services Supervision, CARF Standards, Education Integration for Inpatients, Administration
Natalie Spiteri-Soper, Psy. D. is a licensed clinical psychologist and skilled nursing home administrator in Los Angeles. She began her career in San Bernardino County and currently works in Los Angeles County. As a senior administrator for Star View Adolescent Center in Torrance, California, Dr. Spiteri-Soper cares for the most challenging and traumatized adolescents in the state. These patients require the highest level of intensive services available. Dr. Spiteri-Soper strives for quality customer service for clients and families, as well as for the wellness of the staff that provides services in the agency.
Dr. Spiteri-Soper has worked for 20 years as a clinical and administrative leader in a wide range of secure residential settings in the behavioral health industry. She is a member of the executive team of the Stars Behavioral Health Group, whose motto is “Partnering with People for Positive Change.” She has compassion for people who have experienced significant and complex t...
Colleen M Tangorra, CLU, ChFC
Rancho San Diego, California
Insurance, Financial
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Life Insurance, Compliance, Annuities, Variable contracts, Mutual Funds, FINRA supervision
42 years' experience in the Life Insurance and Financial Services industry. Expertise in traditional and variable life insurance and annuity contracts as well as mutual fund sales practices, compliance and operations. Experienced initially as an insurance and securities licensed professional working directly with clients, later developing skills and knowledge in sales management, training and compliance supervision of over 300 industry sales professionals. Skilled platform speaker to 300 + audiences. As a Registered Principal with the Financial and Regulatory Authority (FINRA), along with my many years of involvement in product development, internal operations of large insurance/financial services companies and compliance regulation has led me to now pursue opportunities as an expert witness. Education includes Bachelor of Science degree from State University of New York, Cum Laude; designations Chartered Life Underwriter and Chartered Financial Consultant from The American College...
Patrick Maroney
Dram Shop Expert - Retired State ABC Director
Maroney Consulting Services LLC
Platteville , Colorado
Dram Shop & Alcohol Services
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Liquor, Alcohol, Liability, Compliance, Dram Shop, Accidents, Injury, Retail, Accident, Investigations
Patrick Maroney is the President of Maroney Consulting Services LLC, which provides expert witness testimony related to dram shop cases. He provides training and consultation for Colorado liquor laws and rules; trade practices laws and rules; retail, wholesale and supplier compliance and licensing in Colorado and is certified as a Colorado Responsible Vendor Trainer. Patrick has trained over 8,800 students in the safe service of alcohol.
He has over 33 years of law enforcement experience and was the Chief of Investigations and the Director of the Colorado Liquor Enforcement Division. Mr. Maroney's experience includes working for the Larimer County Sheriff's Office (Fort Collins, Colorado), Arapahoe County (Colorado) Coroner's Office, and the Colorado Bureau of Investigation.
Patrick instructed numerous training classes on Colorado liquor laws and rules and provided official interpretations of Colorado liquor laws and rules to liquor stakeholders, legislators and licensees. H...
Laura A. Dambier
Life Insurance Expert - Policies, Agents, Claims
Insurance Capital Consulting LLC
Avon, Connecticut
Insurance, Business Operations
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Life insurance, annuities, agent licensing, appointment, commissions, terminations, contracting, regulatory requirements, operations, customer service, call centers, home office administration processes, technology, compliance, file review, death claims, unclaimed property, policyholder services
Laura A. Dambier
Accomplished retired senior executive with more than 20 years of experience leading life insurance operations across the life cycle of a policy from life insurance and annuity agent/broker/distribution sales authorization to the sales process, compensation, customer service and claims. Areas of expertise include but are not limited to life insurance and annuity agent licensing, appointments, terminations, commissions, contracting, technology, customer service, call center and claims. Please see Insurance Capital Consulting LLC below for further detail.
Insurance Capital Consulting LLC
Led by Laura A. Dambier, Insurance Capital Consulting, LLC offers expert consulting and expert witness services related to many aspects of the life insurance industry. Areas of expertise include home office operations; agent, broker and producer licensing, appointment, supervision and termination; policyholder service including premium billing, beneficiary designations and ownership c...
BETH MORGAN, CPC, MCS-P
Somers, Connecticut
Medical Coding, Medical Billing
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CPT codes, Bill & Coding, Compliance, Accounts Receivable Reduction, Bill Review, Personal Injury Bill Reduction, Attorney education on consumers have rights too, Bill Analaysis, UCR pricing
Beth Morgan, President & CEO, is a Certified Professional Coder (CPC) and Compliance Specialist (MCS-P) since 2004. Over the past 20 years she has worked in several areas of the medical profession doing billing and coding for all sorts of providers. Her knowledge and expertise has enabled her to not only reduce provider’s accounts receivables but medical bills by 51%. She has access to a broad base of insurance company policy information, and is an information contributor, to radio and TV shows as well as magazine articles.
Medical Bill Detectives reviews medical bills for errors and overcharges, reducing them down to Usual Reasonable and Customary charges, for negotiating discounts on medical bills.
Thomas I. Fitzgerald, Esq.
Boynton Beach, Florida
Transportation, Accident Reconstruction
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Trucking, Trucks, Commercial Vehicles, Truck Safety, Overweight, tank truck, weight restrictions, hazardous materials, compliance, fatigue, work zone, distracted driving, cargo tank, impaired driving, rollovers, Data Q, DOT, Driver qualifications, OSHA, loading
Thought leader on trucking and commercial vehicle safety and accident reconstruction. Lieutenant and Commanding Officer, Massachusetts State Police Commercial Vehicle Enforcement Section (2010-2022). Certified accident reconstructionist. Licensed attorney. Experienced expert and fact witness.
Willa L Carter
CQG
Conyers, Georgia
Chemistry & Chemicals, Pharmaceutical Regulation
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Medical devices, pharmaceutical research, patents, drug formulation, quality control, laboratories, manufacturing, drug packaging, cosmetics, food, ISO, International Standards of Harmonization (ISO), environmental conditions, compliance, sterilization, chemical synthesis, fermentation, components
Experienced Chemist with 25+ years of experience in quality control, raw materials, manufacturing, validation, and stability. Experience in pharmaceutical, medical device, cosmetics, and food industries. Former odor panel scientist at Proctor & Gamble as a contractor. Extensive teaching experience. International inspector.
Stanford R Brown, B.Sc., CSP, CSHP, CRSP, CHSC
Raising the Standard Consulting (USA) Inc.
Honolulu, Hawaii
Safety, OSHA
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Construction, Mining, Workplace Inspections, Crane, Rigging, EM 385-1-1, First Aid/CPR/AED, General Industry, Accident Investigation, Safety Training, Compliance, Workplace Conditions, Fall Protection, Powered Industrial Trucks, Machine Guarding, Excavation, Trenching, Scaffolds, Multi-Employer
Stanford R. Brown, B.Sc., CSP, CSHP, CRSP, CHSC, has over 30 years of experience managing safety and health for various projects.
He has been involved with multiple construction safety/OSHA cases as an expert witness.
A sampling of the expert witness cases he has been involved with include:
• Workplace injury at refinery construction project.
• Worker fatally electrocuted during a paving incident.
• Construction training and safety standards for power tool injury.
Safety and Slip Trip & Fall, EM 385-1-1, OSHA, (SSHO), Competent Person, First Aid/CPR/AED Instructor Trainer, Certified Safety Professionals (CSP) designation with the Board of Certified Safety Professionals, Certified Safety and Health Professional (CSHP) in the State of Hawaii.
Construction and General Industry, Accident Investigation, Fall Protection, Forklift, Aerial Lift, Boom Lift, Scissor Lift, Machine Guarding, Amputation, Struck By, Caught Between, Scaffold, Ladder, Roofing Safety, Amputation, Excavation/T...
Glenda E Flemister, MD, FACP, FCCP
Medical Health Solutions.us
Frankfort, Illinois
Pulmonary Critical Care Medicine, Critical Care Medicine
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Medical Management, Medical Utilization & Location of Care, Fraud & Abuse, Compliance, Medical Necessity, Medical Devices, Pharmacy Management, Genomics & Personalized Health, Insurance Reviews of Plan Benefits, Insurance Clinical Policy Reviews, Long Term Acute Care & Long Term Care
Triple Board Certified physician executive/consultant, (Board Certified in Internal Medicine, Pulmonary Medicine, and Critical Care Medicine), with vast experience in medical necessity and utilization review. Over 12 years of experience in national insurance and payer companies. Has served as Medical Director for Aetna, Blue Cross Blue Shield Association, and interim CEO for Next Level Health Partners.
Consultation services to companies and manufactures in various areas, (pharmacy, genomics, medical devices, medical management, utilization, etc.), regarding healthcare medical necessity, compliance and educational issues. Fraud and Abuse. Government plans: Medicare & Medicaid. Private insurers all plans: HMO, PPO, Specialty networks. Expert reviews and medical litigation support performed. Sub-specialty medical reviews in Pulmonary and Critical Care Medicine.
Current license: Illinois; New Mexico; Oklahoma; Kentucky; New Mexico
...
Christopher Denney, MPA, MST, CPA, CFF, CVA, ABV, CGMA, CXO/CFO, IFRS, CM&AA, CEPA
Financial Expert with Deep Technical Skills
Silvermark CPAs & Advisors
Indianapolis, Indiana
Financial, Accounting
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CPA, IFRS, CXO, Business Valuations, Internal Controls, CFF, MST, CM&AA, Valuations, Auditing, CVA, MPA, CEPA, Mergers & Acquistions, Compliance, ABV, CFO, Financial Forensics, Accounting
Christopher E. Denney
450 E. 96TH STREET, SUITE 500
INDIANAPOLIS, IN 46240
(317) 581-6350
[email protected]
CURRICULUM VITAE
OVERVIEW OF RESPONSIBILITIES
Managing Member, Silvermark CPAs & Advisors; Business Valuation Services; Litigation Support/Services; Mergers & Acquisitions, Tax Services.
EDUCATION/FACULTY
University of Miami – Post Graduate Economic and Finance Studies 2023
DePauw University – Adjunct Profession of Economics 2016
Indiana University
Master of Science – Taxation 2013
Master of Science – Professional Accountancy 2005
Ball State University
Bachelor of Science – Accounting 1997
BUSINESS HISTORY
Silvermark CPAs & Advisors – Managing Member September 2015 to present
Chris has more than 25 years of experience. Prior to joining Silvermark, he represented three of the Big 4 accounting firms, some in leadership roles and a Fortune 500 Company as an officer. Some of his research has been nationally published, including a cover article fo...
Braden Perry
CFTC Regulatory Compliance Expert
Kennyhertz Perry, LLC
Mission Woods, Kansas
Securities & Investments, Cryptocurrency
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CFTC, Commodity Futures Trading Commission, SEC, Securities and Exchange Commission, Bitcoin, Virtual Currency, Anti-Money Laundering, AML, National Futures Association, Chicago Mercantile Exchange, CME, Commodities, Options, Trading, Compliance
Braden Perry is a litigation, regulatory and government investigations attorney with Kennyhertz Perry, LLC. Mr. Perry has the unique tripartite experience of a white-collar criminal defense and government compliance, investigations, and litigation attorney at a national law firm; a senior trial attorney with the Commodity Futures Trading Commission; and the Chief Compliance Officer/Chief Regulatory Attorney of a global financial institution. Mr. Perry has extensive experience advising clients in federal inquiries and investigations, particularly in enforcement matters involving technological issues. He couples his technical knowledge and experience defending clients in front of federal agencies with a broad-based understanding of compliance from an institutional and regulatory perspective.
Shaun R Opie, PhD
Cannabis Laboratories & Testing
E4 Bioscience
Charlevoix, Michigan
Cannabis, Laboratories & Testing
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Laboratory, Cannabis, Marijuana, Compliance, Regulatory, Cannabinoid, THC, Potency, Contaminant, Quality Management System, Audit, ISO 17025, FDA, Clinical, DNA, Molecular, Genetic, Testing
Dr. Opie is a previous founder of multiple analytical testing laboratories in both clinical diagnostics and cannabis compliance testing. He has been a plaintiff, defendant, and cannabis laboratory testing expert witness in multiple legal matters. Since 2018 he has been advising laboratory owners and investors about regulatory, quality, scientific, and business operations issues.
In addition to being a regular invited speaker at national conferences, He is also the editor and contributing author to the textbook, "Cannabis Laboratory Fundamentals". Dr.Opie has written a variety of articles around laboratory operations including: Cannabis Laboratory Planning, Design, Licensing, Instrumentation, and Staffing, A Hemp Growers Guide to Compliance Testing for THC and CBD Levels, A Guide to Preparing Cannabis Laboratory Business License Applications, and How to Start a Cannabis Testing Lab: A Step-by-Step Guide. Dr. Opie is a quality management system lead assessor for laboratories ...
George B Page, BSE, MSE, CPE
Page Engineering, Inc.
Jackson, Michigan
Human Factors, Safety
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Ergonomics, Health and Safety, Industrial Hygiene, Physical Demands Assessments, Usability Testing, Accident Reconstruction, Biomechanical Modeling, Vibration Measurement, Compliance, Occupational Risk Management, Return to Work, Regulatory and Consensus Standard Initiatives
Page Engineering is a professional consulting firm that combines Ergonomics, Industrial Engineering, and Health and Safety expertise. We have served industry leaders in the areas of Transportation, Shipping, Manufacturing, and Health Care throughout North America. Our approach is bolstered by years of litigation scrutiny and backed by extensive application of ergonomics, human factors, epidemiologic, and occupational medical scientific literature. We specialize in human factors and ergonomics assessments, including both acute and cumulative exposures.
George Page is a Certified Professional Ergonomist. He earned his MSE in Industrial and Operations Engineering (Ergonomics) from the University of Michigan. George is also a Ph.D. candidate at the University of Michigan in Industrial and Operations Engineering (Ergonomics). The topic of his dissertation is: “Functional grip strength: conceptual and empirical models of biomechanical, perceptual, and tribological factors.” In the 1980s...
JOHN SCULLY, PA-C
SCULLY MEDICAL SERVICES LLC.
Las Vegas, Nevada
Emergency Medicine, Critical Care Medicine
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NEUROSURGERY, EARS NOSE THROAT ENT, TRAUMATIC INJURIES, ACCIDENTS MOTOR, BACK NECK PAIN INJURIES, DISABILITIES, DEATH, PEDIATRICS, URGENT CARE, COVID, DIZZINESS, HEADACHES, BRAIN BLEEDS, END OF LIFE CARE, ASSUALT, NP PA, PSYCH, ANIMAL ATTACKS, NEGLECT DELAY IN CARE, COMPLIANCE
Mr. Scully has vast experience in emergency care with over seven years of practice as a certified physician assistant. He carries licensure in Nevada, its surrounding states, and also holds national accreditation. He has cared for some of the sickest patients extending to remote critical access areas. He has trained at the only level one trauma center in Nevada and has built a reputation with the local medical community as a trusted medical professional with a high degree of respect for his patients. Mr. Scully also has experience managing a high functioning free standing ER and Urgent Care facility where he was integral in ensuring all applicable laws were adhered to and patient treatment was the number one priority. Over the last three years he has expanded his expertise in critical care and operates with much autonomy. His training, competence, and relentless research allows him to be at the forefront of medicine. Mr. Scully has cared for thousands of patients and represented bo...
Mike Evans
Banking, Brokerage - Compliance & Supervision
VEGA Compliance Consulting
Avon by the Sea, New Jersey
Securities & Investments, Banking
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Securities Litigation, Compliance Violations, Supervision, Suitability, FINRA, SEC, Churning, Equities, Options, Derivatives, Structured Products, Microcap, Regulatory Investigations, Hedge Fund, Sales, Compliance, Penny Stocks, Leverage, Disclosures, Margin
Mike is a seasoned financial compliance executive, regulator, and entrepreneur with over 30 years of experience leading global financial institutions, including Goldman Sachs, Lehman Brothers, and BNP Paribas. He has served as Chief Compliance Officer (CCO) for three broker-dealers, two Futures Commission Merchants (FCMs), the New York bank branch of BNP Paribas, and as Global Head of Financial Markets Compliance in Paris and London for four years. Mike’s comprehensive expertise spans compliance, risk management, and overseeing regulatory functions across multiple jurisdictions, product areas, and high-profile regulatory investigations. He now specializes in securities litigation support, arbitration disputes, expert testimony, and expert reports for issues such as suitability claims, failure to disclose risks, regulatory compliance violations, market misconduct, and improper supervision.
He has appeared before FINRA, SEC, CFTC, OFAC, and the Department of Justice (DoJ), and is rec...
Mike Evans
Banking, Brokerage - Compliance & Supervision
VEGA Compliance Consulting
New York
Securities & Investments, Banking
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Securities Litigation, Compliance Violations, Supervision, Suitability, FINRA, SEC, Churning, Equities, Options, Derivatives, Structured Products, Microcap, Regulatory Investigations, Hedge Fund, Sales, Compliance, Penny Stocks, Leverage, Disclosures, Margin
Mike is a seasoned financial compliance executive, regulator, and entrepreneur with over 30 years of experience leading global financial institutions, including Goldman Sachs, Lehman Brothers, and BNP Paribas. He has served as Chief Compliance Officer (CCO) for three broker-dealers, two Futures Commission Merchants (FCMs), the New York bank branch of BNP Paribas, and as Global Head of Financial Markets Compliance in Paris and London for four years. Mike’s comprehensive expertise spans compliance, risk management, and overseeing regulatory functions across multiple jurisdictions, product areas, and high-profile regulatory investigations. He now specializes in securities litigation support, arbitration disputes, expert testimony, and expert reports for issues such as suitability claims, failure to disclose risks, regulatory compliance violations, market misconduct, and improper supervision.
He has appeared before FINRA, SEC, CFTC, OFAC, and the Department of Justice (DoJ), and is rec...
Christopher J Roth, MD, MMCI, FACR, FSIIM
Duke University
Raleigh, North Carolina
Neuroradiology, Health Informatics
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Radiology, Imaging, Informatics, DICOM, Brain, Spine, MRI, CT, Administration, Quality, Safety, Compliance, Hospital, Physician, Neuroradiologist, Informaticist
Christopher J. Roth, MD, MMCI, FACR, FSIIM serves as:
Professor of Radiology at Duke University School of Medicine, with a specialty of neuroradiology,
Lead Physician for the Duke Health Imaging Service Line,
Vice Chair in the Department of Radiology for IT and Informatics, and
Director of Imaging Informatics Strategy at Duke Health.
- Clinical activities: Dr. Roth’s clinical work focuses on diagnostic CT and MRI, as well as interventional spine pain procedures and biopsies. Dr. Roth currently averages more than 100 work relative value units (RVUs) per diagnostic workday, above departmental and national university hospital averages. Dr. Roth has not been named in a malpractice case in his fifteen years of clinical practice.
- Administrative Leadership: In leading Duke Health’s Imaging Service Line, Dr. Roth is responsible and accountable for strategies and operations for imaging clinical growth and access, quality and safety, people, as well as revenue cycle and capital outlay...
Donia Mericle, RN
Hicksville, Ohio
Nursing Home Administration, Nursing Homes
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Skilled nursing facility, assisted living, long term care, geriatrics, residential care facility, patient falls, restraints, restrictive interventions, director of nursing, group homes, risk management, policies and procedures, antipsychotics, side effects, emergency room, ICU, compliance, infection
Nursing Home Administrator and Award-winning Director of Nursing. Broad clinical experience includes Director of Nursing, Assistant Director of Nursing and Floor Nurse. Long Term Care, Community Hospital, Emergency Room, and ICU experience.
Paul Sibenik
Pittsburgh, Pennsylvania
Cryptocurrency, Securities & Investments
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blockchain, bitcoin, blockchain forensics, hacks, theft, fraud, pig butchering, embezzlement, ransomware, ethereum, crypto, SIM Swaps, compliance, cybersecurity, cryptocurrency tracking, cryptocurrency tracing, staking, NFTs, ponzi schemes, smart contracts
Paul Sibenik is a blockchain forensics and cryptocurrency tracing expert. He frequently conducts investigations in a range of niches, including cryptocurrency hacks, exploits, vulnerabilities, thefts, fraud, SIM Hijacking, fraud, ransomware, embezzlement, and pig butchering scams. Tracking cryptocurrency such as Bitcoin and Ethereum often plays a critical role in his investigations. Additionally, Paul has been appointed as an expert in many civil disputes, including bankruptcy divorce matters, having worked on more than 100 cases involving cryptocurrency in divorce alone. He has also frequently been asked to open on matters related to Anti-money laundering (AML), compliance, cybersecurity, NFTs, and staking.
Dan Sullivan
Med Legal Pro
Lehighton, Pennsylvania
Nursing Homes, Long Term Care
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Skilled Nursing Facility, Long Term Care, Geriatrics, residential care facility, patient falls, dementia, restraints, group home, risk management, policies and procedures, antipsychotics, side effects, compliance, sepsis, pressure sores, bed sores, wound care, pressure ulcers, ulcers
Experienced Nursing Administrator. Executive Clinical Director at Rehab Facility. Former Director of Nursing.
Dodi Thompson, RN
Scranton, Pennsylvania
Long Term Care, Nursing Administration
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administrator, skilled nursing facility, assisted living, long term care, geriatrics, residential care facility, patient falls, restraints, restrictive interventions, group homes, risk management, policies and procedures, antipsychotics, side effects, compliance, infection, dementia, delirium, ER
Experienced Residence Manager and Nurse Administrator in active clinical practice. Daily hands-on patient care. 9+ years at Assisted Living Facility. Adjunct Professor. Former Director of Emergency Services and Disaster Planning.
John Rober Ballinger, III, Mr.
Complex Insurance, Civil, Claims, Policy Form
Ballinger and Associates Risk Management Firm
Harrison, Tennessee
Insurance, Transportation
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Insurance Claims Mgmnt, Insurance Bad Faith, Aviation, Insurance Automotive, Insurance Policy Form, Compliance, Accident Investigation, Trial Strategy, Insurance Claims Handlling, Regulatory, Errors and Ommissions, Jury Selection Strategy, Insurance Contracts, Trucking, Risk Management, Voir Dire
John Ballinger, an insurance insider and risk mitigation expert, sees unsecured operational risk as the biggest blind spot for many of today’s most successful small to medium-sized companies. Mr. Ballinger is also a decorated veteran of the United States Army and holds over a dozen awards and certifications in aviation safety and risk management. As an expert witness, Mr. Ballinger has assisted with and/or testified in more than 50 court cases related to insurance liability matters.
With over 20 years of experience leading business owners through the complicated matrix of insurance coverage, Mr. Ballinger has saved organizations over $100 million in potential loss through risk analysis and mitigation. Working with clients in a variety of industries has allowed Mr. Ballinger to develop a deep understanding of ACA, EPA, DOL, IRS, OSHA, and DOT regulations. He routinely guides business owners through complex federal mandates and their impact on daily operations.
Mr. Ballinger is well...
Stanford R Brown, B.Sc., CSP, CSHP, CRSP, CHSC
Raising the Standard Consulting (USA) Inc.
Texas
Safety, OSHA
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Construction, Mining, Workplace Inspections, Crane, Rigging, EM 385-1-1, First Aid/CPR/AED, General Industry, Accident Investigation, Safety Training, Compliance, Workplace Conditions, Fall Protection, Powered Industrial Trucks, Machine Guarding, Excavation, Trenching, Scaffolds, Multi-Employer
Stanford R. Brown, B.Sc., CSP, CSHP, CRSP, CHSC, has over 30 years of experience managing safety and health for various projects.
He has been involved with multiple construction safety/OSHA cases as an expert witness.
A sampling of the expert witness cases he has been involved with include:
• Workplace injury at refinery construction project.
• Worker fatally electrocuted during a paving incident.
• Construction training and safety standards for power tool injury.
Safety and Slip Trip & Fall, EM 385-1-1, OSHA, (SSHO), Competent Person, First Aid/CPR/AED Instructor Trainer, Certified Safety Professionals (CSP) designation with the Board of Certified Safety Professionals, Certified Safety and Health Professional (CSHP) in the State of Hawaii.
Construction and General Industry, Accident Investigation, Fall Protection, Forklift, Aerial Lift, Boom Lift, Scissor Lift, Machine Guarding, Amputation, Struck By, Caught Between, Scaffold, Ladder, Roofing Safety, Amputation, Excavation/T...
Kathleen L Jackson, R.Ph., Ph.D. (H.C.), FIACP
Jackson Audit and Compliance
Alvin, Texas
Pharmacist, Pharmaceutical Regulation
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USP <797> <795> <800>, Sterile and non-sterile compounding, FDA 503(a) and (b), State Inspections, Accreditation, Compliance, Critical Point Training, NABP, PCAB, Inspections, FDA Drug Compliance Expert
Kathleen Jackson is a licensed and experienced 40+ year pharmacist with specialized training and experience in compounding and compliance with regulations. She owned and operated a community pharmacy with an emphasis on compounding for 22 years. She has most recently received an NABP Inspector Certification (CISCI) in November 2018, expiring June 2023. Kathleen was also previously accepted by FDA to monitor a pharmacy as a Drug Compliance Expert.
She has presented at several PCCA International Seminars as well as local community clubs and organizations.
Kathleen was awarded "Pharmacist of the Month" in March 2002 by PCCA (Professional Compounding Centers of America).
She has performed inspections and prepared reports to Boards of Pharmacy related to license suspensions/probation orders.
Kathleen has co-authored two articles on Root Cause Analysis in the IJPC (International Journal of Pharmaceutical Compounding). She has also authored several articles in the Texas Pharmacy magaz...
