Banking, Brokerage - Compliance & Supervision

Specialties & Experience of this Expert Witness

Additional Information

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 recognized as a leading expert in financial markets compliance and risk control infrastructures for commercial and investment banks. Mike is a former American Stock Exchange regulator, a contributor to Fordham Law's Compliance programs, and a FINRA-approved Arbitrator. His entrepreneurial background, including building and winding down his own hedge fund, brings a unique perspective to his compliance and risk management expertise. Mike was NASD/FINRA-registered with Series 3, 4, 7, 8, 14, 55, and 63 licenses and is a member of Mensa and the Securities Experts Roundtable. Securities Litigation Expert Witness and Legal Support: 1. Financial Products: Equities, Fixed Income (stocks, bonds), ETFs Options (puts & calls), Swaps, Complex Derivatives, Autocallables, Structured Notes, Structured Products, VIX, “worst of” products Hedge Funds, Private Equity, Private Investments, Loans Regulation D (Reg D) Offerings, 144A Private Placements, Reg S Commodities, FX (currencies), Microcaps, Penny Stocks, Crypto Individual Retirement Accounts (IRAs), 401k 2. Activities & Practices: Sales, Trading, Marketing, Research, Structuring, Supervision, Market-Making, Proprietary Trading Short-Selling, Speculation, Hedging, Leverage, Margin, Registered Investment Advisory (’40 Act), Investment Banking, Commercial Banking, Retail Banking Compliance, Surveillance, Risk Management, Internal Controls, Audit Prime Brokerage, Clearing, Custody Know-Your-Customer (KYC), Anti-Money Laundering (AML), Anti-Financial Crime Anti-Bribery & Corruption (ABC), Sanctions, Financial Fraud Prevention 3. Key Regulations and Compliance: Suitability, Regulation Best Interest (Reg BI), Fiduciary Duty Written Supervisory Procedures (WSPs), Customer Protection, Compliance Policies & Procedures, Dodd-Frank, Volcker Rule, Disclosure Obligations, Conflicts of Interest Internal Governance, Control Room, Restricted Lists, Information Barriers FINRA, Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Federal Reserve Board (FRB), Office of Controller of the Currency and Options Clearing Corporation (OCC), FinCEN, Department of Justice (DOJ), Office of Foreign Assets Control (OFAC), New York State Department of Financial Services (NYS DFS), European Securities and Market authority (ESMA) Markets in Financial Instruments Directive (MiFID), Brexit 4. Violations/Misconduct: Churning, Ponzi Schemes, Market Manipulation, Misselling Complaints Insider Trading, Spoofing, Layering, Off-Channel Communications Front-Running, Anticipatory Hedging, all securities violations 5. Additional Expertise: Fibonacci, Crypto, Blockchain, Technical Analysis Swing Trading, Momentum Trading Wrongful termination, U4, U5 filings With vast experience across financial markets, compliance functions, and regulatory enforcement, his pedigree, and ability to translate complex matters into understandable terms make him a sought-after expert.