Options Expert Witnesses

Huntsville, Alabama

Securities & Investments, Financial - Hedging - risk management, Quantitative Modeling of Damages, Futures, Annnuities, Trade Cost Analysis - Best Execution, Fiduciary Duties of RIA, Asset Allocation, Alternative Investments, Damages - portfolio liquidation, Portfolio Margin, Hedge Funds, Leveraged ETFs, Volatility Products and Strategies, Options, Commodities

Lester Brol, CFA Expert Witness in Securities, Commodities, and Investment Management Litigation Lester Brol is a seasoned investment professional with over 41 years of hands-on experience in portfolio management, risk assessment, quantitative trading, and institutional consulting. Specializing in securities and commodities disputes, he provides expert testimony on topics including damages modeling, best execution practices, asset allocation strategies, hedging, options and futures, fiduciary duties, and performance evaluation. His insights have supported litigation involving pension funds, mutual funds, hedge funds and high-net-worth individuals, helping attorneys uncover damages relating to investment strategies, margin and trading. Mr. Brol launched his career at The Northern Trust Company in Chicago, IL., as a Portfolio Manager and Vice President in the Trust Investment Department. There, he advised clients on asset allocation, portfolio restructuring, and risk management, whi...

Los Angeles, California

Real Estate - Commercial Properties, Lease Disputes, Enviornmental, AIR CRE Contracts, Industrial, Landlord/Tenant, Partnership Disputes, Lease Disputes, Options, Mitigation of Damages, Property Management, Custom & Practice, Investments, Breach of Contract, Disclosures, Brokerage Disputes, Shopping Centers

Lee Segal Commercial Real Estate Transactions, Development & Brokerage. 50 Years Commercial Real Estate Experience. Experienced Expert. Former President of the AIR CRE (largest producer of commercial real estate forms). Thousands of transactions, developed 3,000,000 square feet of warehouses, prior owner of 17 shopping centers Lee Segal is recognized as being in the Top 1% of the Real Estate Industry, having received the coveted AIR Master of Commercial Real Industry. A former President of the AIR CRE known as one of the largest publishers of forms used throughout the commercial real estate industry. At the age of 25, Segal designed, developed, constructed, financed and brokered his first of 20+ buildings in his career. In addition he formed Segal Commercial Management, Inc. As president & CEO of Segal Commercial Properties, Inc., a full service commercial real estate firm located in Los Angeles, Lee has brokered 1,000s of real estate transactions involving: brokerage, investment...

San Diego, California

Securities & Investments, Financial - Fiduciary Duty, Breach of Fiduciary Duty, Standard of Care, Conflicts of Interest, Fraud, Misrepresentation, Hedge Funds, NAV / Valuation Disputes, Fee Disputes, Financial Contract Disputes, Incentive Allocations, Derivatives, Futures, Options, PPM, Due Diligence, Regulatory Compliance, AML, KYC, Lending Agreements

Patrick Kelly provides expert analysis in complex financial matters involving fiduciary duty, conflicts of interest, valuation, fee disputes, disclosure practices, and regulatory compliance, and is available for analysis, consulting, report writing, and testimony. His hedge fund management, financial regulatory, and fiduciary experience, combined with his engineering background, provide a disciplined analytical approach to complex financial matters. He is a Registered Investment Adviser (RIA) representative and former hedge fund founder and manager with experience in derivatives, valuation, and regulatory compliance. He oversaw all aspects of hedge fund operations, including structuring, governance, offering and disclosure documents, portfolio management, financial reporting, investor communications, and fund winddown. He has completed three routine regulatory examinations, including two National Futures Association (NFA) examinations and one California DFPI examination. Areas o...

Newport Beach, California

Real Estate - Matters involving landlords, tenants, buyers, sellers, brokers fiduciary duties and duty of care, property and asset management, AIR contracts, commercial and residential real estate, leasing, sales, CAM charges, holdover, surrender of property, partnerships, options, rent adjustments, mold & more

After graduating from UCLA in 1984, John began working in real estate brokerage in Orange County, California. While in brokerage, John specialized in industrial sales and leasing, as well as investment sales. John was regularly recognized as a top producing salesperson. In 1990, John began working with Fujita Corporation USA as their vice president and as the managing director of Fujita Corporation's property management division, Fujita Property Management (FPM). While at Fujita, John was responsible for overseeing just under 4 million square feet of institutional grade commercial and residential property (valued at approximately $400 million with just over 700 tenants) and for the day-to-day operations of FPM. His duties included oversight of the first private Japanese REIT in California. When John joined Fujita, most of their portfolio was under fee management. Within two years, John grew FPM and took the management of all properties in house. In addition to leasing hundreds of t...

Mission Woods, Kansas

Securities & Investments, Cryptocurrency - 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, white-collar, corporate compliance, market manipulation, financial crimes, Fraud

I am a regulatory attorney, consultant, and expert witness with over twenty years of experience at the intersection of law, finance, and technology. I regularly assist attorneys, corporations, and regulators in matters involving securities, derivatives, commodities, broker-dealers, investment advisers, hedge funds, private equity, venture capital, and financial institutions. My work spans compliance, enforcement defense, risk management, white-collar defense, internal investigations, complex litigation, arbitration, and mediation. My background includes serving as a Senior Trial Attorney at the U.S. Commodity Futures Trading Commission (CFTC), where I investigated and litigated high-profile cases involving fraud, market manipulation, and complex financial products, and as Chief Compliance Officer and Senior Vice President of Regulatory Affairs for a global financial institution, where I oversaw broker-dealer, RIA, hedge fund, and investment company compliance. As a Partner at Kenny...

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...

Avon by the Sea, New Jersey

Securities & Investments, Banking - Securities Litigation, Financial, Supervision, Suitability, FINRA, SEC, Churning, Equities, Options, Derivatives, Structured Products, CFE - Certified Fraud Examiner, 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...

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

Securities & Investments, Banking - Securities Litigation, Financial, Supervision, Suitability, FINRA, SEC, Churning, Equities, Options, Derivatives, Structured Products, CFE - Certified Fraud Examiner, 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...