Securities & Investments Expert Witnesses in California

Los Angeles, California

Securities & Investments, Risk Management - 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...

San Ramon, California

Securities & Investments, Insurance - 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...

San Francisco, California

Securities & Investments, Business Damages - 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...

Corona del Mar, California

Financial, Securities & Investments - Asset Management, Bond Trading, Fixed Income, Emerging Market Debt, High Yield Bonds, CLOs, Hedge Funds, Closed-End Funds, Fund NAV, Credit Derivatives, CDS, Prospectus Disclosure, Bond Defaults / Restructurings, AT1s / CoCos, Bank Loans, Bank Asset Liability, 144a / Reg S Bonds, Bond Pricing, CIO

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. ...

Oceanside, California

Cannabis, Securities & Investments - Cannabis, marijuana, banking and financing, receiverships, bankruptcy, FINRA, syndication, 1031 exchanges, investor disputes, securities fraud, breach of contract, breach of fiduciary duty, investor lawsuits, unregistered securities, investor fraud, shareholder disputes, governance, compliance

Cannabis real estate and investment thought leader. Managing director and cannabis product chair for Sperry Commercial Global Affiliates, the first national real estate firm to embrace cannabis as legitimate investment sector. Expertise in cannabis including breach of contract issues, breach of fiduciary duty, financing & private equity, governance documents, 1031 exchanges, sale-leasebacks, broken development deals, partner disputes, receiverships (bankruptcy is not available for cannabis enterprises), investor disputes, and unregistered securities litigation. Former Series 65 registered investment advisor. Graduate of Wharton School – University of Pennsylvania - BS of Economics. Co-Captain of the wrestling team

San Luis Obispo, California

Securities & Investments, Banking - RIA, Broker Dealers, Banking, Lending, Estates, Trusts, Fiduciary, Securities, Crypto & Specialty Assets, Reg BI, Accredited, International, Firm Practice, Regulatory, 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 integr...

San Diego, California

Legal, Securities & Investments - 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-in-Residence 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. ...

Sherman Oaks, California

Business Damages, Accounting - 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.