Derivatives Expert Witnesses

Fort Myers, Florida

Banking, Financial - Banking, loans, contract disputes, commercial and consumer finance, mortgages, derivatives, lender liability, legal malpractice, public finance, fraud, bankruptcy, debtor and creditor's rights, banking regulations, lending compliance, bank policies and procedures

Peter has over forty years of transactional, public and private commercial and real estate finance, legal and bank consulting experience. He serves as an expert in cases involving public, commercial and real estate financing transactions. He provides litigation support in cases involving contract disputes and complex public and commercial finance matters centering on debtor and creditor rights. Based upon his experience representing banks, finance companies, borrowers, investors and public entities in conventional and innovative financings, Peter provides litigation support and expert services in contract disputes, commercial and residential real estate, lender liability, legal malpractice, public finance, complex lending and credit facilities, and financial fraud cases. His experience spans thirty years of due diligence, structuring, closing and restructuring public and commercial financial transactions on behalf of lenders; county, state and federal authorities and issu...

Lakeland, Florida

Securities & Investments, Financial - Derivatives, Swaps, Futures, ISDA/SIFMA/NAESB Documentation, UCC Article 8, Foreign Currency, Financial Products, Municipal Bonds, Hedge Funds, Securitization, CFTC and SEC Compliance, LIBOR/SOFR transition issues, Secured Transactions, Commodity Finance, Agricultural Hedging, Unauthorized Trading, Churning, Howey Test

James Lovely provides expert witness, litigation support, and consulting services concerning all types of derivatives and other capital markets products. His expertise encompasses both academic training and extensive legal and financial work experience involving the regulation, structuring, hedging, documentation, execution, management and termination of financial products, including futures, options, swaps, derivatives, and bonds, ISDA, NAESB and SIFMA documentation, repurchase agreements, liquidity facilities, structured financial products, commercial paper programs, securitizations, commodity financing, and prime brokerage arrangements. He also advises clients on LIBOR/SOFR transition issues. He is experienced with the U.C.C., including particularly Article 8 of the UCC related to securities and financial asset transfers and Article 9 related to secured transactions.

Avon by the Sea, New Jersey

Securities & Investments, Banking - Securities Litigation, Financial, 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, CFE, 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, arbitrations/courts, expert testimony, and expert reports for issues such as suitability claims, failure to disclose risks, regulatory compliance violations, market manipulation, KYC/AML, conflicts of interest, and failure to supervise. He has appeared before FINRA, SEC, CFTC, OFAC, and the D...

Morristown, New Jersey

Securities & Investments, Fraud - Hedge Funds, Alternative Investments, Derivatives, Trading Practices, Security Manipulation, Fiduciary Duty, Due Diligence, Forensic Audit, CFE, CAIA, Options, Foreign Exchange, Precious Metals, Venture Capital, Real Estate

Barclay Leib, CFE, CAIA is an accomplished alternative asset due diligence professional who has been conducting due diligence and asset allocation on a variety of alternative investments (hedge funds, venture capital, private equity, alternative direct lending) for the majority of the past 25 years. He previously was a senior derivatives trader at firms including JP Morgan, Goldman Sachs, Barclays Bank, and Societe Generale for the first 20-years of his career. He also ran Alternatives Research for Fortigent LLC ($70 bln of assets advised) for two years. Mr. Leib has testified in both AAA arbitration and in Court cases in matters related to hedge funds, due diligence, fiduciary duty, and market manipulation. He has also assisted the SEC, CFTC, SDNY, and FBI, as well as several law firms, in various financial investigations that have resulted in successful criminal prosecutions. Mr. Leib holds an active FINRA Series 65 license, as well as currently inactive Series 7 & 63 license...

Mahwah, New Jersey

Financial, Business Operations - Asset Management, Risk Management, Hedge Funds, Alternative Investments, Fixed Income, Derivatives

Ed Hannon, CFA has spent more than three decades as an alternative investment portfolio manager, trader, and investor and serves as an advisor to the institutional and family office investment community. Ed possesses a wealth of experience as an investment professional. He has evaluated the investment strategy, operational, and compliance programs of a large number and variety of hedge funds and brings a deep understanding of investment strategy and operational strengths and weaknesses. Ed received a BS from The Pennsylvania State University and is a CFA Charterholder. https://www.altstratinst.com/

New York

Securities & Investments, Fraud - Hedge Funds, Alternative Investments, Derivatives, Trading Practices, Security Manipulation, Fiduciary Duty, Due Diligence, Forensic Audit, CFE, CAIA, Options, Foreign Exchange, Precious Metals, Venture Capital, Real Estate

Barclay Leib, CFE, CAIA is an accomplished alternative asset due diligence professional who has been conducting due diligence and asset allocation on a variety of alternative investments (hedge funds, venture capital, private equity, alternative direct lending) for the majority of the past 25 years. He previously was a senior derivatives trader at firms including JP Morgan, Goldman Sachs, Barclays Bank, and Societe Generale for the first 20-years of his career. He also ran Alternatives Research for Fortigent LLC ($70 bln of assets advised) for two years. Mr. Leib has testified in both AAA arbitration and in Court cases in matters related to hedge funds, due diligence, fiduciary duty, and market manipulation. He has also assisted the SEC, CFTC, SDNY, and FBI, as well as several law firms, in various financial investigations that have resulted in successful criminal prosecutions. Mr. Leib holds an active FINRA Series 65 license, as well as currently inactive Series 7 & 63 license...

New York, New York

Economics, Business Damages - Economic Damages, Securities, Corporate finance, Class actions, Fraud, Financial modeling, Derivatives, Financial statements, Structured Products, Commercial Damages, Wrongful Termination damages, 10b-5, Lost Profits, Crypto, Contractual Damages, Trust, Present Value Calculation, Investor disputes, Portfolio investments, Valuation

Dr. Kumar (PhD in Finance from MIT Sloan, CFA) has almost 20 years of experience in economic consulting and specializes in the application of economic and financial theory to questions arising in business disputes, securities/derivatives and corporate finance litigation. She has expertise in economic damages quantification, business valuation (including startups and companies across a variety of niche industries), securities and structured finance litigation. She is proficient in the use of sophisticated statistical modeling and econometric techniques, including event studies, analysis of options, swaps and other complex structured products. She has been engaged several times as a testifying expert in securities, valuation and damages-related matters, and as consulting expert in a wider range of litigation including tax and transfer pricing, financial antitrust, statistical sampling and wage and hour-related suits. She has issued expert reports and has participated in several inte...

New York

Securities & Investments, Banking - Securities Litigation, Financial, 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, CFE, 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, arbitrations/courts, expert testimony, and expert reports for issues such as suitability claims, failure to disclose risks, regulatory compliance violations, market manipulation, KYC/AML, conflicts of interest, and failure to supervise. He has appeared before FINRA, SEC, CFTC, OFAC, and the D...