Portfolio Management Expert Witnesses

San Luis Obispo, California

Securities & Investments, Banking - RIA & Broker Dealer, Wealth Office, Organizational Consulting, Lending, Trusts Estates, Employment, Fiduciary, Portfolio Management, Crypto & Special Assets, Reg BI, Accredited Investor, International, Firm Practice, Fraud, Risk Management, 1031 DST, Complex Insurance Plans, FINRA, OCC, SEC

With over 35 years of experience in the financial services industry and as an entrepreneur, I have founded consulting firms serving both consumers and businesses. I am currently the Chief Compliance Officer, and Owner of Wealth Innovation, a boutique Registered Investment Adviser firm. I am the President and Owner of Esoteric Advisors, a collaborative consulting and expert witness firm dedicated to fostering a robust and extensive collegial network of fellow experts in the financial services sector. We specialize in expert knowledge within and about financial services. Previously, as a Region Manager and then Wealth Manager at a Fortune 500 financial services company, I collaborated with several leaders across various business lines to establish a unique hybrid Montecito Wealth office. My responsibilities included overseeing risk management, human resources, public relations, and corporate leadership. I am committed to maintaining the highest standards of compliance, legal integ...

Staten Island, New York

Securities & Investments, Financial - Uniform Prudent Investor Act, UPIA, Trust and Estates, Trustee Duty of Impartiality, Fiduciary Duty, Breach of Fiduciary Duty, Damages, Investment Suitability, Financial Planning, Portfolio Management, Asset Allocation, Investment Due Diligence, Divorce, Matrimonial, Hedge Funds, FINRA, Annuities

Mr. Campbell has over 30 years of financial industry experience. He is the principal of a financial litigation and investment management consulting firm, Kerry Campbell LLC, where he serves as a financial expert witness during litigations and provides consulting services to financial institutions and investors. He has worked in investment research and portfolio management, as a Managing Director at Arden Asset Management, and as a Senior Vice President at Guggenheim Partners. He has worked in prime broker risk management as a Managing Director at Bear Stearns. Prior to that he worked as a commissioned registered representative, a funding officer and as a credit analyst/loan officer. Mr. Campbell received a Master of Business Administration in Finance from the University of Chicago Booth Graduate School of Business and a Bachelor of Science in Finance Summa Cum Laude from Fordham University Gabelli School of Business. He is an Approved FINRA Dispute Resolution Arbitrator, a Cha...