Securities & Investments Expert Witnesses
The SEAK Expert Witness Directory contains a comprehensive list of securities & investments expert witnesses who testify, consult and provide litigation support on securities & investments and related issues. Securities & investments expert witnesses and consultants on this page may form expert opinions, draft expert witness reports, and provide expert witness testimony at deposition and trial. The issues and subjects these securities & investments expert witnesses testify regarding may include: Hedge Funds, Fiduciary Duty, Suitability, Fraud, Compliance, Damages, Derivatives, Due Diligence, Options, Structured Products, Annuities, Breach Of Fiduciary Duty, Business Valuation, Financial Planning, and Finra.
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Lester T Brol, CFA
Institutional Investments & Derivatives Expert
Brol Capital Management, LLC
Huntsville, Alabama
Securities & Investments, Financial
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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...
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Barbara C. Luna, PhD, CPA, CFE, ASA, CVA, ABV, CFF, MAFF, CGREA, CREA, CMC
Damages
White, Zuckerman, Warsavsky, Luna, & Hunt, LLP
Sherman Oaks, California
Business Damages, Accounting
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Forensic Accounting, Damages, Lost Profits, Lost Earnings, Lost Value of Businesses and Real Estate, Fraud. Extensive Expert Testimony in breach of contract, business interruption, dissolutions, intellectual property, construction, fraud, securities, personal injury, wrongful termination matters
Barbara Luna is a Senior Partner in the accounting and litigation services firm of White, Zuckerman, Warsavsky, Luna & Hunt. She has served as a forensic accounting, damages and valuation expert witness for over forty years in business and personal injury litigation and bankruptcy matters. She analyzes financial, accounting, economic, business, real estate and valuation issues relating to liability and damages in litigation matters and reorganization of businesses. She has testified on numerous occasions in U.S. District Court, Superior Court, Bankruptcy Court, arbitrations and depositions.
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Patrick Kelly
Hedge Fund Management, Fiduciary Duty, Derivatives
Next Alpha Capital, LLC
San Diego, California
Securities & Investments, Financial
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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...
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Marty Dirks
Investment Mgt - Alternative Investments Expert
Investment Strategy & Analysis
San Francisco, California
Securities & Investments, Business Damages
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Materiality of Information, Damages, Fiduciary Duty, Fraud, Hedge Funds, Insider Trading, Stock Options, Defined Benefit and Defined Contribution Pension Plans, Ponzi Scheme, Short Selling, Suitability, Business Valuation
Marty Dirks has more than 30 years of institutional investment experience with expertise in hedge fund management, valuation and analysis of securities, analysis of corporate accounting fraud, and other complex investment-related issues. As an analyst and short selling hedge fund manager from 1989 through 2010, he has special expertise in the analysis of fraud and misrepresentation by publicly-traded companies.
Mr. Dirks is a Senior Adjunct Professor of Finance at Golden Gate University (2006-present). He was the director of research at McCullough, a value equity manager, from 2010-2012. He was a board member for the San José pension plan from 2011-2019. From his roles as an Adjunct Professor and Investment Consultant he has proven his ability as a confident public speaker with the ability to convey technical concepts to diverse audiences.
His corporate industry experience includes working at Cooper Industries (1987-1989), a Fortune 100 manufacturing company, and at Texas Instrume...
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Mason A Dinehart III, RFC
FEND - Financial Education Network Development
San Ramon, California
Securities & Investments, Insurance
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Due Diligence, Suitability, Supervision, Standards of Care, Breach of Fiduciary Duty, Variable and Fixed Index Annuities, TIC's, Non-Traded REIT'S, Broker Dealer Compliance, Portfolio Analysis, Private Placements, Elder Abuse, Damages, Misrepresentation, Material Omission and Fraud
I am celebrating 5 decades in the securities Industry. I am both a FINRA Arbitrator and the designated securities expert witness for the CA State Bar. I am a consulting expert in litigation and arbitration having testified in 25 states involving securities, insurance and annuities. Since 1991, I have been retained over 1000 times and have testified in 365 arbitrations before NASD, FINRA, JAMS, PSE, AAA and PSE along with attending and testifying in over 100 mediations. In addition, I have qualified and testified before the L.A. Federal Court along with State Courts in L.A., Orange, Fresno and San Diego. My case track record stands at 328 wins and 37 losses.
From a long-standing banking background in corporate finance to underwriting and investment banking and real estate experience, I bring a strong knowledge of modern portfolio theory through the teaching of hundreds of retirement financial planning seminars at the corporate level. It is my goal to bring a refres...
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David K Steel
Insurance, Banking, Capital Markets
The Oakleaf Group LLC
Los Angeles, California
Financial, Securities & Investments
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Mortgage lending, Securities ratings, Cybersecurity, Securitization, Mortgage banking, Structured finance, Commercial RE leasing, Life and annuity insurance, Financial Risk Mgmt, Mortgage & asset-backed securities, Mortgage underwriting, Reinsurance, Financial guaranty, Damages, Mortgage origination, Litigation, Data Privacy, Breach
David Steel
Managing Director, Risk Management & Litigation Support Advisory, The Oakleaf Group LLC
David K. Steel serves as Managing Director of Risk Management and Litigation Support Advisory for Oakleaf. In his role, David is responsible for building the firm’s Financial Services Risk Management Practice and further expanding Oakleaf’s successful litigation support advisory business. David is an experienced leader in the financial services industry, with expertise in credit risk underwriting, enterprise risk management, portfolio management, capital markets, business strategy, restructurings, and arbitrations.
Before joining Oakleaf, David successfully de-risked an $8.3 billion portfolio of reinsurance credits as a consultant for American Overseas Re. He also served as Chief Risk Officer of a life and annuity reinsurance venture for one of the largest US banks, creating an ERM framework, underwriting guidelines, and corporate governance policies and procedures. David was p...
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Mark R Lee
Corporate, Securities, Antitrust
San Diego, California
Legal, Securities & Investments
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securities, corporations, antitrust, partnerships, limited liability companies, corporate governance, fiduciary duties, private offering, Rule 10(b)-5, Rule 506, brokers, suitability, know your customer, arbitration, freeze outs, oppression
A highly regarded legal consultant and expert witness, Professor Mark R. Lee is an expert in Securities Regulation, Corporations, Unincorporated Business Organizations, and Antitrust. He has provided consulting or expert witness services in connection with a wide variety of matters ranging from Rule 10(b)-5 liability, exemptions from registration, and compliance with SEC Rule 506 to fiduciary duties, corporate governance, “freeze outs,” and hostile takeovers to distributor terminations and revocation of hospital privileges.
Professor Lee has taught at ten law schools in the United States, four in Europe. Currently, he is Professor-of-Practice and J. Lawrence Irving Senior Distinguished Teaching Fellow at the University of San Diego School of Law. He is the author of Organizing Corporate and other Business Enterprises, 6th ed. (LEXIS, 2000) (with L. Gross) [textually updated annually], Antitrust Law and Local Government (Greenwood Press 1985), and articles in academic journals. ...
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JON-ERIC KRONVALL
Fiduciary, Trust/Estate & RIA Broker-Dealer Expert
Esoteric Advisors
San Luis Obispo, California
Trusts & Estates, Securities & Investments
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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,...
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Colleen Diles
Broker-Dealer Supervision & Compliance: Reg BI
Diles Consulting
Marina Del Rey, California
Securities & Investments, Risk Management
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Reg BI, Regulation Best Interest, FINRA Programs, FINRA Risk Hierarchy, Sales Practice Issues, FINRA Rules, SEC Rules, Internal Controls, Broker-Dealer Compliance, Broker-Dealer Supervision, Broker-Dealer Regulatory Issue, Written Supervisory Procedures, WSP, Risk Monitoring, Risk Mitigation
President and Founding Principal of Diles Consulting, Colleen has 25 + years of experience in the securities industry. Colleen worked at the Financial Industry Regulatory Authority (FINRA) for 22 years supervising both Examination and Risk Monitoring teams. Most recently, at FINRA, Colleen served as Risk Monitoring Director and Los Angeles Office Senior Leader. Prior to joining FINRA, Colleen held the position of Mutual Fund Administration Supervisor at Chase Global Fund Service Company in Boston, Massachusetts.
During her tenure at FINRA, Colleen developed and enhanced company programs and processes and successfully worked with technology partners to create solutions to advance Risk Monitoring business needs. Additionally, Colleen served as the Los Angeles Regulatory Point of Contact and established relationships with federal and state regulators through stakeholder forums. This included regular interaction with national and regional SEC offices, State securities regulators, NAASA...
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Peter John Ingersoll, CCIM
Cannabis Business & Securities Litigation Expert
Safe Harbour Equity, Inc.
Oceanside, California
Securities & Investments, Cannabis
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Cannabis, investment analysis, receiverships, economic damages, FINRA regulations, litigation support, securities fraud, breach of contract, breach of fiduciary duty, investor lawsuits, unregistered securities, shareholder disputes, lost profits, forensic accounting, business valuation, financial reports, due diligence
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Cannabis business and securities disputes demand expert insight—Peter John Ingersoll, CCIM, delivers. With 40+ years guiding investor disputes, fraud claims, and unregistered securities cases, he helps attorneys untangle complex business, financial, and operational challenges. Experienced in receiverships, recapitalizations, and courtroom testimony, Peter turns complicated cannabis disputes into clear, actionable strategies.
Full Description:
Peter John Ingersoll, CCIM, is a cannabis business and securities litigation expert witness with over 40 years of experience advising on investor disputes, fraud claims, and unregistered securities. He provides guidance in complex business disputes involving founders, partners, and creditors, offering clear and credible analysis for courts and counsel. Peter’s expertise spans recapitalization, receiverships, and corporate governance, ensuring attorneys can navigate the unique legal, operational, and financial challenges of the...
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David C. Hinman, CFA
Bond / Loan Asset Management, Trading & Valuation
Hinman Capital Services LLC (HCS)
Corona del Mar, California
Financial, Securities & Investments
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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. ...
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Jeb Wildschut, CFP CFE
Securities Expert - Former SEC Regulator
Fortress Wealth Consulting, Inc.
Denver, Colorado
Securities & Investments, Financial
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Regulatory Compliance, Fiduciary Duty, Compliance Training & Education, Alternatives, SEC & FINRA Regulations, Due Diligence Requirements, Supervisory Oversight, Securities Practices, Portfolio Management, Branch Inspections, Financial Crimes, Compliance Program Development, Written Procedures, Reg Bi, Financial Investigations
Retained by both claimants and respondents for SEC, FINRA arbitrations, securities litigation, and court settings. Speaks with clarity and precision and his expert opinions are founded upon his years of experience and thorough understanding of industry rules, standards of professional conduct, and industry practices of the brokerage and investment management industries. Retaining counsel is supported by extensive research, expert witness reports, persuasive testimony, and years of industry, investment advisor, supervisory and fiduciary experience. Strong ability to identify the strengths and weaknesses of a case. Specialized in analyzing investment strategies, portfolio management, and fiduciary duties to deliver clear, authoritative insights in court. Proven track record of translating intricate investment concepts into compelling, evidence-based opinions for legal proceedings.
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Gordon Yale, CPA, CFF, CFE
Securities and Financial Expert
Yale Forensics
Denver, Colorado
Securities & Investments, Accounting
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Adequacy of disclosure in securities offerings, adequacy of due diligence by brokers and investment advisers, accounting and audit negligence, private placement of securities, real estate investments, fixed income securities, Ponzi schemes, financial analysis, life settlements, securities fraud
I have testified in state and federal courts, SEC administrative hearings, FINRA and private arbitrations. Cases have included multi-billion Ponzi schemes including Medical Capital Secured Notes, Provident Royalties Preferred Stock, DBSI Housing TICs, Notes, and various land funds, IMH Secured Loan Funds, Discovery Oil, InterBank Funding Income Fixed Rate Participating Notes, Dallas Proton Treatment Center, LLC Convertible Notes and other investments including partnerships, privately offered REITs.
I have conducted three investigations of Big 4 accounting firms in connection with their audits of thrift institutions, including Silverado Saving and Loan, for the Colorado Board of Accountancy, done municipal bond valuations for the state of Hawaii and served as an expert for the state of Florida in its action against Angelo Mozilo, the co-founder and former CEO of Countrywide Financial Corporation.
I have owned a securities broker-dealer, worked as an investment banker and fixed ...
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William Fender, CPA, J.D., MBA, AIFA, RF
Fiduciary Duty Expert
Innovest Portfolio Solutions LLC
Denver, Colorado
Securities & Investments, Trusts & Estates
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Fiduciary duties, trusts and estates, Uniform Prudent Investor Act, trustees, trust beneficiaries, suitability, modern portfolio theory, prudent investment practices, ERISA, damage calculations, investment advisers, diversification
Professional certifications and credentials - Certified Public Accountant, attorney (inactive), Accredited Investment Fiduciary Analyst, Registered Fiduciary
• Principal and Senior Investment Consultant with Innovest Portfolio Solutions LLC, an SEC registered investment adviser firm that provides investment consulting services on a fee-only basis to over $21 billion of individual, retirement plan and foundation investment portfolios pursuant to the Investment Advisers Act of 1940 (1996 to present)
• Expert witness focus - Fiduciary duties and responsibilities associated with the management of investment portfolios in trusts and estates, retirement plans, individual investor portfolios and foundations
• Experience includes expert reports, damage calculations and testimony with respect to trustees of private trusts (including bank trust departments), beneficiaries of private trusts, retirement plan participants, retirement plan fiduciaries, investment advisers and individual investor...
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Max Holmes
Investor / Lawyer / NYU Stern Professor
Useful LLC
Greenwich, Connecticut
Business Valuation, Securities & Investments
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Antitrust, Arbitration, Banking, Bankruptcy, Business Damages, Business Valuation, Contract Disputes, Cryptocurrency, Due Diligence, Fiduciary Duty, Financial, Fraud, Hedge Funds, Insurance, Investment Banking, Investment Management, Lending, Leveraged Buyouts, Mergers & Acquisitions, Private Equity
Max Holmes has over 40 years of experience as a portfolio manager, research analyst, board member, lawyer, NYU Professor and expert witness.
Since 1993, Max Holmes has been an Adjunct Professor of Finance at the Stern Graduate School of Business at New York University, teaching "Bankruptcy and Reorganization."
Max Holmes has been the Chief Investment Officer / Lead Portfolio Manager for two large hedge funds ($2.7 billion and $5.4 billion of peak AUM) as well as an insurance company portfolio and a mutual fund portfolio. The funds invested in credit, capital structure arbitrage, distressed debt, rescue finance, direct lending, specialty finance, event stocks and special situations securities, including long and short positions. The funds invested across the capital structure: bank debt, DIP loans, second lien debt, secured and unsecured bonds, floating rate and fixed rate notes, trade claims, preferred stock, common stock, put and call options and credit default swaps (CDS). In...
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Edward Scott
Private Equity/Debt, Securities, Ai, Bankruptcy
BelleGreen LLC
Riverside, Connecticut
Securities & Investments, Technology
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Private Equity, Private Credit, Investment Management, Fund NAV, CLOs, Bank Debt , High Yield Bonds, Hedge Funds, Restructurings, Bankruptcies, Business Valuations, Securities Valuations, Fraud, Securities Disclosure, Artificial Intelligence, Software, Data Centers, Data & Analytics, M&A, Capital Markets
Mr. Scott is a former partner at Apollo one of the world's largest alternative asset management firms and is a recognized expert in private equity, private credit, bankruptcies, valuations and corporate turnarounds. He has invested in scores of private equity and private credit situations. Having served as a partner and senior executive at some of the world's leading alternative investment firms, Mr. Scott is intimately familiar with all aspects of securities and corporate valuations as well as conflicts including NAV. Today, he frequently serves as a board member, consultant and expert witness. Mr. Scott has over 25 years of experience as both an investor and C-suite turnaround executive with deep expertise in Ai, computer vision, data centers and software. Mr. Scott was a founder of InterXion N.V. (Europe's largest data center business with over 50 facilities the globe) and a founding investor/board member of publicly traded Akamai - the US' largest edge compute platform serving ...
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mark paverman
JSM ADVISORS
Boca Raton, Florida
Financial, Securities & Investments
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FINRA, SECURITIES & EXCHANGE COMMISSION, Regulation, Securities, National Futures Association, Registered Investment Advisors, Suitability, Trading, Examinations, NFA, FINES, Registrations
Mark Paverman has over 35 years of Broker Dealer experience as a Chief Compliance Officer for large, small and newly registered Firms covering all Products (Equity, Derivatives & Fixed Income) and well as Broker Dealer services (Investment Banking, Research & Clearing). Mark currently holds series, 4,7,8,14,24,63,82 and 99.
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Charles W Ranson
Charles W. Ranson Consulting Group, LLC.
Fort Lauderdale, Florida
Banking, Securities & Investments
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Trust & Estates, Corporate Trustees, Individual Trustees, Trust Beneficiaries, Estate Executors/Personal Representatives, Estate Beneficiaries, Trustee Duty of Loyalty, Trustee Duty of Impartiality, Trustee Duty to Account Trustee Fee Litigation, Prudent Investor Rule, Trustee Duty of Prudence
Charles W Ranson provides litigation consulting services and expert witness testimony for plaintiff and defense counsel in trusts & estates litigation cases alleging breach of fiduciary duty. Counsel that engages my services typically represents corporate and individual trustees, trust beneficiaries, estate personal representatives/executors, estate beneficiaries, registered investment advisors, ultra-high net worth investors, and family offices. In assisting plaintiff or defense counsel in trust and estate litigation claims of breach of fiduciary duty my liability analysis is conducted in light of state probate statutes, terms of the trust instrument, and the prevailing customs and practices in corporate fiduciary services. Each case is analyzed in light of the facts and circumstances alleged/defended in the matter and the corresponding fiduciary standard of care applied to the case allegations, facts, and circumstances.
www.charleswranson.com to view a video clip of Ranson.
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George S. Georgiev
Corporate & Securities Law Expert Witness
Law Professor
Miami, Florida
Legal, Securities & Investments
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corporate governance, executive compensation, SEC accounting reporting disclosure, internal controls, fiduciary duty litigation, duty of oversight, clawbacks, earn-out disputes, mergers & acquisitions, standard of care, legal malpractice, ERISA, corporate veil piercing, materiality, LLC governance, Rule 10b 5, disclosure process
Award-winning law professor specializing in corporate and securities law with extensive academic and practice experience. Author of numerous articles and frequently featured as a legal expert in prominent media outlets such as the New York Times, Financial Times, and Bloomberg. Has testified before Congress and government agencies. As a former practicing lawyer at top law firms, has a keen understanding of corporate deal making, corporate compliance, and business dynamics. Has served as an expert witness in high-profile cases in various jurisdictions. Expertise in securities litigation, fiduciary duty litigation, legal malpractice (business law), mergers and acquisitions, corporate governance, and related areas.
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James W. Lovely, BBA, MBA, JD
Derivatives and Capital Markets Expert Witness
Lakeland, Florida
Securities & Investments, Financial
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Derivatives, Swaps, Futures, ISDA/SIFMA/NAESB Documentation, UCC Article 8, Foreign Currency, Financial Products, Municipal Bonds, Hedge Funds, Securitization, CFTC and SEC Compliance, LIBOR/SOFR transition issues, Secured Transactions, Commodity Finance, Agricultural Hedging, Unauthorized Trading, Churning, Howey Test
James Lovely provides expert witness, litigation support, and consulting services concerning all types of derivatives and other capital markets products. His expertise encompasses both academic training and extensive legal and financial work experience involving the regulation, structuring, hedging, documentation, execution, management and termination of financial products, including futures, options, swaps, derivatives, and bonds, ISDA, NAESB and SIFMA documentation, repurchase agreements, liquidity facilities, structured financial products, commercial paper programs, securitizations, commodity financing, and prime brokerage arrangements. He also advises clients on LIBOR/SOFR transition issues. He is experienced with the U.C.C., including particularly Article 8 of the UCC related to securities and financial asset transfers and Article 9 related to secured transactions.
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Mace Barry Tamse, J.D.,CFP,AAMS,CMFC,CLTC
Financial Suitability
Sole Proprietor
Highland Beach, Florida
Securities & Investments, Insurance
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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
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Braden Perry
Securities, Derivatives & Crypto Expert
Kennyhertz Perry, LLC
Mission Woods, Kansas
Securities & Investments, Cryptocurrency
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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...
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Thomas Selman
Expert in Litigation and Regulatory Consultant
Scopus Financial Group
Silver Spring, Maryland
Securities & Investments, Financial
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White Collar Crime, Finance, Financial Planning, Fraud Investigation, Investment Banking, Cryptocurrency, Licensing, Marketing Securities, Stocks & Bonds
For 20+ years, Tom Selman served at the Financial Industry Regulatory Authority, most recently as Executive Vice President for Regulatory Policy and Legal Compliance Officer. He oversaw more than a dozen regulatory programs and developed FINRA's formal compliance program.
Mr. Selman holds a J.D degree., a CFA charter, and a CBDA from the Digital Assets Council of Financial Professionals. He is a member of three state bar associations.
As President and CEO of Scopus Financial Group, Mr. Selman has extensive experience in providing expert testimony in litigation for defendants and claimants. He is frequently retained at inflection points in litigation to assess class-certification risk, rebut expert theories, and evaluate compliance issues under compressed timelines.
Mr. Selman has successfully testified in FINRA and AAA arbitrations and state and federal courts, including the Delaware Chancery Court. He has testified on a wide range of issues, including the supervision of associa...
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John N. Haut, JD, MBA, CPA
Sparks, Nevada
Business Valuation, Securities & Investments
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Economic Damages, Copyright, Trademark, Securities Litigation, Investment Performance, Shareholder Appraisal Actions
I am a highly experienced consulting expert (over 30 years, including over 20 years at Charles River Associates and Compass Lexecon working on high stakes matters) who also has testifying experience in both state and Federal Court. I have given expert testimony (reports and depositions); managed complex cases; performed research; drafted expert reports, deposition and trial testimony scripts; supervised and performed various types of analyses; created demonstratives; and advised counsel with respect to deposition and trial strategy. I have experience in business valuation (both public and private companies), economic damages (including copyright, trademark, patent, and personal injury), securities litigation (both domestic and international), and shareholder appraisal actions. I am both a CPA and an attorney (UCLA Law School ‘93) and also have an MBA.
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Alan J Besnoff, CFP®, ChFC, CLU
Securities, Life Insurance, CFP® Professional
Securities Expert Witness & Litigation Support, LLC
Fremont, New Hampshire
Securities & Investments, Insurance
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Mutual Funds, Annuities, Financial Planning, Life Insurance, Long Term Care Insurance, FINRA, Misrepresentation, Asset Allocation, Retirement Plans, Unauthorized Trading, Suitability, churning, Supervision, Employment, U-5, Variable Annuities, Alternative Investments, CFP® Professional, Fiduciary Duty, IRAs
Alan J. Besnoff, CFP®, ChFC, CLU is the founder of Securities Expert Witness & Litigation Support, LLC, and provides litigation consulting services and expert testimony in FINRA arbitrations, other arbitration forums, and state and federal court for matters involving customer disputes and employment issues within the financial services industry.
Mr. Besnoff’s expert engagements typically involve sales practices and alleged violations of rules and industry standards in the areas of securities, life insurance and annuities, CFP Board Code and Standards, supervisory, and U-5/employment matters.
Mr. Besnoff has been engaged as an expert in more than 135 cases and has testified approximately 35 times.
Alan Besnoff has 30+ years of experience within the industry, primarily in supervisory and leadership positions.
Mr. Besnoff has passed FINRA registration examinations for Series 6, 63, 65, 7, 26, and 24, as well as state licensing examinations for Life Insurance & Annuities, Disabi...
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Barclay T. Leib, CFE, CAIA
Alt Investments / Hedge Funds / Trading Practices
Sand Spring Advisors LLC
Morristown, New Jersey
Securities & Investments, Fraud
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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...
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Mike Evans, CFE
Banking, Securities Compliance & Supervision
VEGA Compliance Consulting
Avon by the Sea, New Jersey
Securities & Investments, Banking
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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...
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Anthony Centrella, CAMS, MCSD
Software & Finance Forensics, IP, Fraud Compliance
Cold Spring Harbor, New York
Software Engineering, Securities & Investments
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Software Development, Trade Secrets, Intellectual Property, AI, Databases, Business Systems, Programming, Reverse Engineering, Source Code, SQL, Securities Industry, Securities Litigation, Stock Market, Financial Data, Investment Forensics, FINRA SEC Investigations, Data Forensics, Insider Trading, AML, Fraud Detection
I am an accomplished software engineering and securities & investments expert with over 20Yrs on Wall Street, developing sophisticated software and conducting investment statistical & forensic analyses for global investment firms and regulatory bodies. Currently a senior software engineer at a leading SaaS firm, I design innovative solutions to manage and analyze investment risk for global financial institutions. My career includes prominent roles at Wall Street firms such as Credit Suisse, Cantor Fitzgerald, and TD Cowen, where I developed and scrutinized software systems handling billions in principal value. Renowned for my precision and calm under pressure, I deliver custom analyses, complex reports, and visualizations to support litigation, regulatory investigations, and investment strategies.
**SOFTWARE & TECHNOLOGY** – Expert witness specializing in trade secret misappropriation, copyright/patent infringement, and open-source compliance:
• Source Code Forensics – Comparati...
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Mike Evans, CFE
Banking, Securities Compliance & Supervision
VEGA Compliance Consulting
New York
Securities & Investments, Banking
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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...
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Kerry Campbell, CFA®, CFP®, AIFA®
Trust and Estates, Investment Advisors & Divorce
Kerry Campbell LLC
Staten Island, New York
Securities & Investments, Trusts & Estates
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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...
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David C. Hinman, CFA
Bond / Loan Asset Management, Trading & Valuation
Hinman Capital Services LLC (HCS)
New York
Financial, Securities & Investments
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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. ...
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Max Holmes
Investor / Lawyer / NYU Stern Professor
Useful LLC
New York
Business Valuation, Securities & Investments
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Antitrust, Arbitration, Banking, Bankruptcy, Business Damages, Business Valuation, Contract Disputes, Cryptocurrency, Due Diligence, Fiduciary Duty, Financial, Fraud, Hedge Funds, Insurance, Investment Banking, Investment Management, Lending, Leveraged Buyouts, Mergers & Acquisitions, Private Equity
Max Holmes has over 40 years of experience as a portfolio manager, research analyst, board member, lawyer, NYU Professor and expert witness.
Since 1993, Max Holmes has been an Adjunct Professor of Finance at the Stern Graduate School of Business at New York University, teaching "Bankruptcy and Reorganization."
Max Holmes has been the Chief Investment Officer / Lead Portfolio Manager for two large hedge funds ($2.7 billion and $5.4 billion of peak AUM) as well as an insurance company portfolio and a mutual fund portfolio. The funds invested in credit, capital structure arbitrage, distressed debt, rescue finance, direct lending, specialty finance, event stocks and special situations securities, including long and short positions. The funds invested across the capital structure: bank debt, DIP loans, second lien debt, secured and unsecured bonds, floating rate and fixed rate notes, trade claims, preferred stock, common stock, put and call options and credit default swaps (CDS). In...
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Barclay T. Leib, CFE, CAIA
Alt Investments / Hedge Funds / Trading Practices
Sand Spring Advisors LLC
New York
Securities & Investments, Fraud
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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...
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Craig A. Wolson
Securities fraud, derivatives, securitization
Wolson Consulting Group
New York, New York
Securities & Investments, Financial
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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.
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Jason L Thompson
Securities Expert – FINRA & Advisor Conduct
Trust But Verify
Columbus, Ohio
Securities & Investments, Arbitration/Mediation
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Securities litigation, FINRA arbitration, Advisor suitability, Investment products, Structured notes, Annuities, Buffered ETFs, Complex derivatives, Advisor conduct, Compensation conflicts, Reg BI violations, Trading and execution quality
Jason L. Thompson is an investment professional with over two decades of experience in trading, portfolio management, and advisor support. Through Trust But Verify, he provides expert witness and consulting services focused on advisor conduct, product suitability, compensation conflicts, and trading practices in FINRA arbitration and civil litigation.
Relevant Experience:
Investment Manager for an Ameriprise Private Wealth Advisory practice managing $400M+ in client assets
Firsthand experience with advisor documentation, compliance, and operational workflows
Fifteen years in institutional fixed-income trading and structured products with firms including Lancaster Pollard, Huntington Investment Company, UBS, National City Bank, and Fidelity Investments
Executed and distributed structured notes, municipal bonds, and derivatives across retail and institutional markets
Areas of Expertise:
Advisor conduct, suitability, and compensation structures
Derivatives modeling and trading
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Yasser Alhenawi, Ph.D., M.Sc., MBA
Finance & Investment Expert - PhD - Business Dean
Academia
Maumee, Ohio
Financial, Securities & Investments
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Valuation, Corporate Finance, Damage & Lost Profit, Mergers and Acquisitions (M&A), Banking & Lending, Fiduciary duty & negligence, Investment Losses, Portfolio Allocation, Securities & Derivatives, Risk Management, Consumer Finance, Real Estate, Analytics, Financial Modeling, Bitcoin, Crypto, Islamic Finance, fraud and manipulation
I am a Finance & Investment expert with 25 years of experience. I bring deep analytical and quantitative expertise supported by more than 50 peer-reviewed publications and years of leadership as a business school dean and finance professor. I provide clear, well-supported analyses for attorneys and am available for new expert-witness engagements.
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Mohammad H. Ali, CFA
FX & Derivatives Trading, Valuation
Thornhill, Ontario
Securities & Investments, Banking
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Foreign Exchange, Interest Rate Derivatives, Futures, FX Options, Algorithmic Trading, Electronic Trading, Market Making, Emerging Markets, NDFs, Compliance, Forwards/Swaps, Cross Currency Basis, Market Liquidity, Macro Trading, Treasury Portfolio, FX hedging, Economic insights, Best Execution Practices
Mohammad H. Ali, CFA is a seasoned capital markets professional with 26 years of trading and consulting experience in the banking space. His particular area of product expertise includes foreign exchange and interest rate trading products. Mohammad has implemented compliance controls, managed global teams, spearhead enhancement of documents such as the FX Global Code of Conduct and led major electronic trading transformations within the currency and swaps trading space.
Mr. Ali spent the majority of his career within the securities division of Toronto Dominion Bank leaving the firm in 2020 as Managing Director and Global Head of Foreign Exchange trading where he oversaw a team of 25 traders+quant analysts, executed Billion dollar+ Cross Currency FX M&A transactions and executed a major re-haul of TD Bank’s Global EFX trading platform. Mohammad also brings with him extensive proprietary trading experience in the macro-space across developed and emerging markets. More recently, Moh...
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Paul Sibenik
Pittsburgh, Pennsylvania
Cryptocurrency, Securities & Investments
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blockchain, bitcoin, blockchain forensics, hacks, theft, fraud, pig butchering, embezzlement, ransomware, ethereum, crypto, SIM Swaps, compliance, cybersecurity, cryptocurrency tracking, cryptocurrency tracing, staking, NFTs, ponzi schemes, smart contracts
Paul Sibenik is a blockchain forensics and cryptocurrency tracing expert. He frequently conducts investigations in a range of niches, including cryptocurrency hacks, exploits, vulnerabilities, thefts, fraud, SIM Hijacking, fraud, ransomware, embezzlement, and pig butchering scams. Tracking cryptocurrency such as Bitcoin and Ethereum often plays a critical role in his investigations. Additionally, Paul has been appointed as an expert in many civil disputes, including bankruptcy divorce matters, having worked on more than 100 cases involving cryptocurrency in divorce alone. He has also frequently been asked to open on matters related to Anti-money laundering (AML), compliance, cybersecurity, NFTs, and staking.
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Richard B Chess
Deals, Acquisitions & Capital Raising
Chess Law Firm, PLC
Midlothian, Virginia
Securities & Investments, Real Estate
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1031 Like Kind Exchange, Tenant in Common, Regulation D, Capital Raising, Business brokerage, Opportunity Zones, Delaware Statutory Trust, Partnerships, Economic Development, Real Estate Investment Trusts, Governance, Joint Ventures, Exit taxes, Acquisitions, State & Local Government, Commercial Investments, Property Assessment
Richard B. “Rick” Chess, JD, provides expert witness services in commercial transactions, capital raising, and governance matters. He has 48 years of experience in commercial real estate, investment transactions, and capital markets, including overseeing the acquisition of 50,000 apartments and 10 shopping centers, leading the growth of a $1.5 billion office and industrial portfolio, and raising over $300 million in equity and real estate investment funds.
Rick has held senior leadership roles, including Acquisitions Director at United Dominion Realty (NYSE: UDR), National Sales Director at Capital Square 1031, President of Encore Equities, Inc., and Director roles at Crescent Securities and Triple Net Properties. He has served on NYSE-listed and private boards, facilitated family boards for hotel developers, and acted as a state legislator in the Pennsylvania General Assembly.
He has prepared reports, provided written declarations, and delivered oral testimony in federal and stat...
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