Structured Products Expert Witnesses

San Luis Obispo, California

Trusts & Estates, Securities & Investments - Trust & Estate Litigation, Trust Disputes, Trustee Executor Conduct, Fiduciary Breach, RIA Broker-Dealer, FINRA SEC, Banking, Corporate Trustee, Compliance, Cryptocurrency, Private Equity, Closely Held, Structured Products, Complex Assets, Securities, Offshore, Complex Insurance, Employment Disputes, DST Real Estate, Lending

Jon-Eric Kronvall is a testifying expert witness with more than 35 years of experience in fiduciary governance, retail, business, and private banking, investment advisory, and securities regulation. As President of Esoteric Advisors, he delivers expert reports, declarations, affidavits, depositions, and trial testimony to courts, arbitration panels, and counsel on behalf of both plaintiffs and defendants. Mr. Kronvall's concurrent role as President, Chief Investment Officer, and Chief Compliance Officer of Wealth Innovation, a Registered Investment Adviser firm, keeps his expert opinions grounded in current market conditions. He is actively managing portfolios for high-net-worth clients using the same products, regulatory standards, and fiduciary frameworks he analyzes in litigation — informed by current practice rather than retrospective analysis. Esoteric Advisors and Wealth Innovation operate as independent practices with no shared clients, referrals, or overlapping engagements,...

Corona del Mar, California

Financial, Securities & Investments - Investment Management, Bond Trading, Private Credit, Emerging Market Debt, High Yield Bonds, CLOs, Hedge Funds, Closed-End Funds, Fund NAV, Credit Derivatives/CDS, Benchmarks, Prospectus Disclosure, Bond Defaults / Restructurings, GIPS, Bank Loans, Structured Products, 144a/Reg S, Bond Pricing, Investment Composites, Investment Strategy

David Hinman, CFA has 27 years of finance experience and 23 years of fixed income asset management experience, including 10 years at PIMCO. In his career, he has managed CLOs, hedge funds, and closed- and open-ended mutual funds. His expertise includes analyzing, trading, and managing portfolios of credit derivatives, investment grade and high yield corporate bonds, bank loans, emerging market debt (EMD), and structured credit. As an investor, he has also participated in numerous corporate bankruptcies and debt restructurings and served on creditor workout committees. He co-founded and sold a SEC registered investment advisor, which focused on investing in EMD, where he served as Chief Investment Officer. He has expertise regarding hedge and mutual fund disclosures, documentation, and regulations. He has detailed familiarity with bond offering documents, typical disclosures, as well as bond investor expectations regarding information provided by both issuers and underwriters. ...

Highland Beach, Florida

Securities & Investments, Insurance - Stock Trading, Annuities, Life Insurance, Option trading, Financial planning, Suitability, Bond Trading, Structured Products, Tax Harvesting, Mutual Funds, Long Term Care, Stop loss orders

I worked for E.F. Hutton for 2.5 years as an investment advisor Prudential Bache for 9.5 years as an investment advisor Dean Witter/Morgan Staney for 21 years as an investment advisor, ASSISTANT Manager, and office Mutual Fund , Money Manager, Insurance coordinator Ameriprise Financial for 11 years In the Circle of Excellence. I have Taught at High School and College Financial Subjects Part of my services for my clients have not only been investing for them but also advising them on Estate Planning, Tax Planning and Insurance needs More Degrees Include: Doctorate of Law, Bachelor of Law , Masters in Finance, Behavioral Finance ,Bachelor of Arts. Past licenses include: Series 7, Series 10, Series 3, Series 63, Series 65, Mortgage Broker license, Real Estate 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, New York

Securities & Investments, Financial - Securities Fraud, Credit Default Swaps, Structured Finance, CLOs, Derivatives, M&A, Project Finance, Asset-Backed Securities, Secured Lending, Legal Malpractice, LLC Agreements, Mortgage-Backed Securities, Contracts, Joint Ventures, SEC Filings, Swaps, Interest Rate Swaps, Securitizations, Private Placements, Structured Products

Please check my website and my LinkedIn profile for my bio and additional information about myself (experience, skills, education, etc.). These may be found at www.structuredfinanceexpert.com and www.linkedin.com/in/craigwolson, respectively.

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 (both defense and plaintiff-side) in securities, valuation and damages-related matters, including SPAC disputes and employment arbitrations. She has also been engaged as consulting expert in a wider range of litigation including tax and transfer pricing, financial antitrust, statistical...

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...

New York

Financial, Securities & Investments - Investment Management, Bond Trading, Private Credit, Emerging Market Debt, High Yield Bonds, CLOs, Hedge Funds, Closed-End Funds, Fund NAV, Credit Derivatives/CDS, Benchmarks, Prospectus Disclosure, Bond Defaults / Restructurings, GIPS, Bank Loans, Structured Products, 144a/Reg S, Bond Pricing, Investment Composites, Investment Strategy

David Hinman, CFA has 27 years of finance experience and 23 years of fixed income asset management experience, including 10 years at PIMCO. In his career, he has managed CLOs, hedge funds, and closed- and open-ended mutual funds. His expertise includes analyzing, trading, and managing portfolios of credit derivatives, investment grade and high yield corporate bonds, bank loans, emerging market debt (EMD), and structured credit. As an investor, he has also participated in numerous corporate bankruptcies and debt restructurings and served on creditor workout committees. He co-founded and sold a SEC registered investment advisor, which focused on investing in EMD, where he served as Chief Investment Officer. He has expertise regarding hedge and mutual fund disclosures, documentation, and regulations. He has detailed familiarity with bond offering documents, typical disclosures, as well as bond investor expectations regarding information provided by both issuers and underwriters. ...