Securities & Investments Expert Witnesses in New Jersey

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: Churning, Compliance, Compliance Violations, Derivatives, Disclosures, Equities, Finra, Hedge Fund, Leverage, Margin, Microcap, Options, Penny Stocks, Regulatory Investigations, and Sales.

Use the search box above to further refine your search for securities & investments expert witnesses by keyword and state. Attorneys contact the experts directly – with no middleman.

Charles W. Ranson

Securities & Investments
Trusts & Estates
Wealth Management

Kerry Campbell, CFA, CFP, AIFA

Fiduciary Duty
Portfolio Management
Trust & Estates

Gordon Yale, CPA, CFF, CFE

Securities Fraud/Ponzi Schemes
Prior Investment Banker
Experienced Expert

Alan Besnoff, CFP, ChFC, CLU

Securities & Insurance
Suitability, Supervision, &
Employment Issues

Mike Evans

Banking, Brokerage - Compliance & Supervision

VEGA Compliance Consulting

Avon by the Sea, New Jersey

Securities & Investments, Banking - Securities Litigation, Compliance Violations, Supervision, Suitability, FINRA, SEC, Churning, Equities, Options, Derivatives, Structured Products, Microcap, Regulatory Investigations, Hedge Fund, Sales, Compliance, Penny Stocks, Leverage, Disclosures, Margin

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 rec...

Mike Evans - Full Listing and Contact Info

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