Securities & Investments Expert Witnesses in New York

Cold Spring Harbor, New York

Software Engineering, Securities & Investments - 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...

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

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. ...

Staten Island, New York

Securities & Investments, Trusts & Estates - 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...

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

Securities & Investments, Fraud - 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...

New York

Business Valuation, Securities & Investments - 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...