Compliance Violations Expert Witnesses
Compliance violations 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 violations. The compliance violations expert witness listings on this page are typically from fields/areas of expertise such as: Banking and Securities & Investments.
Mike Evans
Banking, Brokerage - Compliance & Supervision
VEGA Compliance Consulting
Avon by the Sea, New Jersey
Securities & Investments, Banking
-
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
-
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...
