Wealth Management Expert Witnesses
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Wealth Management Expert Witness - Representative Bios
Please Note: All Cahn Litigation expert witness searches are customized to attorneys' precise specifications and preferences. Attorneys are encouraged to discuss search parameters with a Cahn search specialist.
The below expert witness bios represent a small fraction of those Wealth Management experts known by Cahn Litigation Services. These bios are provided to give lawyers a sense of the Wealth Management landscape.
Expert Witness #248578
This expert is a Certified Regulatory Compliance Professional and brings many years of securities industry expertise to the table. This expert's career includes serving as Chief Compliance Officer of public and private financial services institutions, managing and directing the AML, compliance, controls and risks of various businesses in the financial services industry and years of sales and management in other retail businesses. This expert held Municipal Principal responsibilities at financial services and supervised options business at financial services institutions as either Senior Registered Option Principal or Compliance Registered Option Principal. This expert served on the FINRA Committee that created the Operations Professional Series 99 and is a frequent panelist and facilitator at industry conferences and regional and national meetings. This expert is well-prepared to serve as an expert witness for financial services institutions from testifying as the company representative for three financial services institutions in 15 arbitrations. To remain prepared for paid board service this expert is trained in SOX requirements.
Start Wealth Management Expert SearchExpert Witness #282685
This investment advisory expert holds a JD, CFP, and CIMA, and is an experienced senior investment professional with over 35 years of investment management and consulting experience. This expert has broad experience in many aspects of the securities industry, with firsthand experience in mergers and acquisitions, trading, clearing, custody, and recruiting and supervising Financial Advisors. This expert earned a B.A. in Business Administration from a university and a J.D. from a law school.
This expert currently serves in a senior leadership role at a large registered investment advisory firm, with responsibilities that include managing a book of business as a Financial Planner and Wealth Manager. This expert also serves in senior compliance and operations roles, including keeping the firm compliant and guiding the firm through a number of successful SEC examinations. This expert spent over 20 years at a major financial services firm in a senior investment role working with ultra-high-net-worth families. This expert has testified in FINRA arbitrations, been deposed, written expert reports and rebuttal reports, and served as a FINRA arbitrator.
This expert has experience supporting arbitration, litigation, and enforcement matters, including conducting internal investigations and responding to and resolving regulatory investigations and examinations. Areas of experience include interpretation of securities and commodity statements, analysis of transactions, determination of client suitability and improper solicitation, analysis of options trading and how market volatility affects client holdings, suitability analysis of client investments, discovery of excessive trading ratios including cost-to-equity, commission-to-equity, and turnover, clarification of client versus broker control of accounts, determination of broker self-interest, assessment of the validity of client complaints, and statutory violations of the 1933 and 1934 Acts.
Start Wealth Management Expert SearchExpert Witness #288932
This reputation management and repair expert is a recognized specialist in online reputation management and founded a firm providing reputation management services to high-net-worth families, law firms, investigative agencies, and multinational financial companies. The firm is known as a trusted, nonpartisan online reputation management resource for CEOs, business leaders, entrepreneurs, rising public figures, VIPs, and their organizations, with experience serving entertainment figures, luxury brands, public figures, philanthropists, prominent wealth-ranking clients, entertainment industry leaders, FinTech leaders, technology founders, venture capitalists, and others.
This expert's work has included reputation monitoring and crisis response planning for high-profile clients facing the risk of false allegations and reputational harm. This expert has also provided counsel in the context of a widely publicized crisis involving false information in media coverage and has published blogs and articles addressing the impact of false allegations.
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