Hedge Fund Expert Witnesses

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...

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...

Dallas, Texas

Financial - Banks & Financial Services, Corporate Governance, Mergers & Acquisitions, Corporate Finance, Strategic Planning, Negotiations, Family Offices, Private Equity, Capital Markets, Corporate & Investment Banking, Accounting & Financial Reporting, Charitable Foundations, Hedge Fund, Investment Research

Brian Jones has over 30 years’ experience in the financial services industry as a senior leader, advisor and investor. He co-founded and leads BankCap Partners, an investment and advisory firm that focuses on financial services and fintech companies. BankCap has successfully raised and exited two private equity funds comprising investments in eight banks, achieving a combined return on invested capital exceeding 2.5 times. Mr. Jones has served on numerous corporate boards, including as a director of South Korea’s Hyundai Motor Group and three US banks. His public company board involvement includes audit, compensation, nominating/governance, credit and risk committees (sometimes as chairman). Mr. Jones is a CPA, a CGMA and considered a “financial expert”. From 2016-2021, Mr. Jones was also Co-President of a multibillion-dollar family office in New York City where he was responsible for overseeing the investment research team of 50+ professionals. Before BankCap, Mr. Jones was Exec...