Investment Banking Expert Witnesses
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What is an investment banking expert witness?
Investment banking expert witness candidates typically have extensive experience in venture capital, private equity, valuation, mergers and acquisitions, and financial markets. An investment bank is most often associated with corporate finance, though there are overlapping traits with commercial banking. Investment banks provide advisory services and securities underwriting, and commercial banks manage deposit accounts. The main activities at an investment bank encompass raising capital, sales and trading, research, and asset management.
What types of cases require an investment banking expert witness?
Representative litigation matters that call for an expert in investment banking involve issues pertaining to:
- fiduciary duty,
- hedge fund,
- capital markets,
- shareholder disputes,
- mutual funds, and
- Initial Public Offerings (IPO).
What litigation support work might a investment banking expert witness be expected to perform?
Litigation support by an investment banking expert could represent either the plaintiff or defendant, and work could include an expert report, fairness opinions, and/or expert testimony in the courtroom. In addition, clients may seek an investment banker or financial advisor for pre-litigation consulting services.
Cahn Litigation Services is the expert witness placement service provider of choice by law firm clients to locate an expert witness that can support investment banking and related financial services matters.
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Investment Banking 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 Investment Banking experts known by Cahn Litigation Services. These bios are provided to give lawyers a sense of the Investment Banking landscape.
Expert Witness #232188
This expert is the principal consultant at a banking and financial consulting firm. This expert provides technology consulting to investment Banking companies, major Commercial Banks and National Brokerage firms. This expert has designed and implemented specialized database and real time on-line financial applications. This expert has worked with the Foreign Exchange & Reserve Banking departments for the Federal Reserve Bank. This expert has participated as an expert witness in approximately 20 matters. This expert has given a dozen depositions and has testified in a number of trials and hearings.
Start Investment Banking Expert SearchExpert Witness #247296
Collectively, this expert's experiences include direct lending of approximately $500 million to businesses and commercial real estate ventures, and credit review and approval of approximately $1.5 billion. During this expert's many years of education and professional experience in complex business and financial matters, this expert has developed broad experience and expertise in commercial finance, insolvency, real estate, real estate finance and valuation. This expert's experiences encompass business and project evaluation, damage claims/ lost profits, debt and equity structuring, feasibility analysis, financial analysis, investment management, lending and leasing, and valuation. This expert is also a nationally recognized expert in the areas of bankruptcy, financial restructuring, insolvency and workouts and is designated as a Certified Insolvency and Restructuring Advisor by the Association of Insolvency and Restructuring Advisors. This author is well published and is established as an authority in the field through speaking and publishing.
Start Investment Banking Expert SearchExpert 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 Investment Banking Expert SearchExpert Witness #248638
This expert is one of the few professional, independent financial expert witnesses in banking, corporate securities, trading, derivatives, client/bank disputes and market misconduct. This expert has been appointed to provide research reports and Court evidence for a wide range of complex financial litigation and arbitration cases from Hong Kong to the US. This expert has reviewed the cases of both Plaintiffs and Defendants, in civil and criminal disputes, including those involving synthetic derivatives, insider trading, mis-selling, misuse of information, employment contracts, shareholder agreements, loan documents, disputes between banks and clients, setting of pricing, and determination of quantum. This expert has a great deal of experience sifting evidence in the field of market misconduct, frequently being appointed by the Regulators - or indeed appointed by the defendants. This expert is a Practicing Member of the Academy of Experts.
This expert is very familiar with the financial markets, having been a stockbroker, fund manager and private banker involved with sales, trading, investment management and banking. This expert has very strong and current technical skills, including managing directly invested long and hedge funds and funds in many asset classes, including bonds. This expert is a sought-after financial commentator, is frequently published in national and international newspapers, and has appeared on television broadcasts throughout the world.
This expert has established several compliance departments and implemented such processes. This expert is an SFC Type 1, 4 and 9 Responsible Officer and is qualified to run Authorized Funds through types 4 and 9. This expert operates as an investment management consultant through the firm, whose clients include investing institutions, Fund Boards, expert witness panels, and securities organizations.
Start Investment Banking Expert SearchExpert Witness #248849
This expert is a Managing Director in an international accounting company's Business Restructuring and Turnaround Services practice. This expert has many years of experience in financial advisory services, including corporate restructuring, capital raising and merger and acquisitions (M&A) transactions. This expert provides financial, strategic and operational guidance to companies in the energy, chemical and renewables sectors.
This expert has significant transaction experience, having worked with clients on buy-side and sell-side transactions, as well as on auctions out of bankruptcy, privatizations, joint ventures, joint development agreements, and private equity and venture capital investments. This expert has also served as interim CEO of a leading solar panel producer, as well as interim CFO of a biodiesel company, where the company was successfully taken through Chapter 11. In addition, this expert has acted as a senior advisor to two exploration and production (E&P) companies.
This expert was President at a biotechnology company, where this expert successfully executed the company's first external capital raising and grew its staff. This expert also served as operating partner to a hedge fund for portfolio companies in the energy sector, leading several successful turnarounds, including an emergence from Chapter 11 and subsequent asset sale.
Relevent Experience:
- Bankruptcy Experience- Energy sector leadership as in-house corporate development professional- Private Equity/Hedge Fund Experience- Significant renewables experience- Investment banking- M&A and capital raising focus for the energy sector- Litigation support - economic analysis in support of expert testimony- Securities litigation, insider trading and antitrust cases
Start Investment Banking Expert SearchExpert Witness #251896
This expert began a career as an internal auditor with a National Bank. This expert helped community financial institutions as internal auditor, controller and chief financial officer. As a consultant this expert has assisted community financial institutions with investment management, asset liability management, investment banking, compliance issues, internal audit, deposit and loan operations, company policies and general accepted accounting principles. This expert has assisted in a capital raise for de-novo financial institutions. This expert has spent many years in the financial institution, and mortgage industries. This expert understands, first hand, the impact of changes that have occurred in these industries and most importantly, how these changes impact customers; especially business owners' ability to obtain capital and loans that they need to operate and grow their companies. That's why a large part of this expert's practice is devoted to helping consult with community financial institutions, including non-bank, as these changes affect them.
Start Investment Banking Expert SearchExpert Witness #253430
This expert is an accredited business valuation consultant in the Litigation, Forensic, and Valuation Services Group of a nationally recognized leading consultancy. This expert is an executive with many years of experience in valuation, M&A, corporate finance, forensic accounting, litigation support and expert testimony.
This expert's practice includes dozens of engagements over the years related to partnership and other business disputes requiring forensic accounting, damages analysis and business valuation. These disputed matters have often involved companies in the wholesale and retail food industry, shareholder disputes, mergers and acquisitions, buy/sell agreements, and estate planning. This expert has also valued partial equity interests and stock options. This expert provides fair value financial analysis including ASC 805 purchase price allocations and valuations of intangible assets such as trade names/brands, customer relationships, royalties, patents and technology. This expert has also performed lost profits and financial damages analyses.
This expert worked as an independent consultant specializing in business valuation and litigation support, and has spent time working among the ranks of the Big Four. This expert also has experience in investment banking, corporate development, and venture capital investments.
This expert has the distinction of being an Accredited Senior Appraiser (ASA) in business valuation with the American Society of Appraisers. This expert is a Certified Patent Valuation Analyst.
Start Investment Banking Expert SearchExpert Witness #260006
This expert is an active lender with many years of experience in Banking, Finance, and Real Estate Lending, and is experienced in Trial and Deposition Testimony. This expert was in the commercial banking industry for many years before leaving to form a commercial Real Estate lending company. This firm is a licensed Finance Lender and Bureau of Real Estate Broker. The company provides services to banks, non-banks, and individuals in need of creative financing solutions.
With many years of experience in banking and real estate, this expert's market knowledge and transactional experience has allowed this expert to work in a consulting and expert witness capacity for many clients over the years. This expert has transacted hundreds of real estate and non-real estate loan negotiations in times of economic growth as well as downturns in the economy. This expert's extensive credit background arms this expert with the understanding of how banks and other lenders operate internally.
This expert is a licensed Real Estate Broker and the firm is a Finance Lender and Broker. This expert's areas of expertise include:
- Lending Policies, Custom and Practice/Lender Liability- Broker Standards of Care and Fiduciary Responsibility- Loan Underwriting and Credit Administration- Loan Process and Bank Loan Restructure/Workout Process- Note Valuations/Collateral Review- Litigation and Discovery Consulting- Banking Operations/Administration- Specialty Niche in SBA Real Estate Lending- Construction RE Lending & Administration- Expert reports adherent to Federal Rule 26- Loan Syndication/Secondary Market Loan Sales- Title Insurance CasesThis expert has been providing expert witness and consulting services. This expert has been designated over 65 times as an expert in 7 different states concerning matters relating to lending, real estate, construction finance, SBA lending, brokerage, hard money lending and investment issues. This expert's experience includes both Federal and State court cases where he has provided deposition testimony, trial testimony and arbitration testimony.
Start Investment Banking Expert SearchExpert Witness #262355
Having served as Chief Compliance Officer of a full-service broker-dealer for many years with responsibilities for investment banking and merger and acquisitions compliance and oversight, this expert has the expertise with respect to best practices/duties and responsibilities/obligations of a registered broker dealer.
This expert heads a highly successful and sought-after compliance and regulatory consultancy specializing in matters relating to the broker-dealer and investment adviser community.
This expert has held the following Securities Licenses:
- Series 24 - General Securities Principal- Series 14 - Compliance Official Examination- Series 8 - General Securities Sales Supervisor Examination- Series 7 - General Securities Representative Examination- Series 63 - Uniform Securities Agent State Law Examination Series- 65 - Uniform Investment Advisor Agent Law Examination- Manager - Financial Services AuthorityThis expert has served as:
- a speaker and lecturer for numerous conferences and events for the SEC, NYSE, NASD, NASAA, SIA, SIFMA, and other events sponsored by industry and regulatory organizations on multiple topics dealing with Compliance- a member of the Securities Industry & Financial Markets Association (SIFMA) Compliance & Legal Division Executive Committee- a member of a Board Options Exchange Compliance Advisory Panel- a member of a Business Conduct Committee- a member of the New York Stock Exchange (NYSE) Compliance Advisory CommitteeThis expert has been engaged as an expert witness on more than 120 matters encompassing a full range of issues relating to the customs and practices, duties, responsibilities, and obligations of a registered broker dealer. This expert has testified at hearings or in deposition in more than 40 cases in federal courts, state courts, FINRA Office of Hearing Officer proceedings, American Arbitration Association Commercial Arbitration proceedings, and FINRA Arbitration proceedings.
Start Investment Banking Expert SearchExpert Witness #248543
This investment banking corporate and transactions expert has over 25 years of experience in senior investment banking transactional leadership, execution, and profit-and-loss responsibility, including extensive work at a number of global investment banks. Executive responsibilities have included recruiting senior professionals, being recruited for senior capital markets positions, serving on compensation committees, and serving as an outside director of a privately held investment bank and broker-dealer for over 10 years. This expert also conducted a securities industry Mergers & Acquisitions practice that led to over 40 advisory assignments.
This expert has taught investment banking and capitalism courses for decades, is well-published, and authored a securities industry primer on the conduct of underwritten public offerings. This expert has been active in securities industry association and self-regulatory organization affairs, including service on many committees. This expert is an experienced expert witness, having testified over 15 times in over 60 matters in various courts and at FINRA hearings.
Start Investment Banking Expert SearchExpert Witness #251340
This financial damages expert has over 15 years of experience working extensively in litigation matters related to securities, M&A, investment banking, derivatives, and valuation. Most of this expert's work is in securities litigation, specifically securities class actions. This expert is currently a university lecturer in economics and finance. This expert has calculated hundreds of damages in cases involving securities and bonds, and these damage estimates and methodologies have never been rejected by courts.
Start Investment Banking Expert SearchExpert Witness #269434
This investor best practices expert holds a Ph.D. in Accounting and Management and the CFA credential, and is a former economist at a major U.S. securities regulator who has worked extensively on conflicts of interest at financial institutions, including investment advisers and broker-dealers. This expert has worked on matters adverse to major U.S. and international financial regulators, including securities, commodities, banking, clearing, trade, and tax authorities. This expert has testified over 20 times in federal jury and bench trials, arbitrations, and depositions, and has participated in many securities regulator settlements both as a regulatory officer and later as an expert.
This expert is an experienced expert witness and litigation consultant.
Start Investment Banking Expert SearchExpert Witness #272527
This M&A expert has over 45 years of distinguished credentials in investment banking, mergers and acquisitions, and corporate finance.
This expert has demonstrated investment banking and capital-raising expertise through a variety of turnaround management assignments in the healthcare, medical device, manufacturing, insurance, gaming, student housing, and real estate industries. This expert has managed acquisitions of similar companies through the roll-up process and has worked to consolidate those companies to help maximize profitability.
This expert's consulting work focuses on M&A lead advisory services, complex corporate turnaround services, litigation support services, comprehensive real estate advisory services, and debt and equity financing, and includes litigation support in over 30 cases.
Start Investment Banking Expert SearchExpert Witness #277768
This investment banking expert holds a Ph.D. and has worked in the investment banking industry for over 40 years, including leadership positions at several investment banks.
This expert has experience with matters involving investor presentations, the use of NDAs in investment banking transactions, and financial damages in patent infringement cases. The background includes serving as an investment banker and engaging directly in making and using investor presentations.
This expert has over 40 years of experience as a senior financial executive in financial institutions, including serving in senior investment banking and financial operations roles, and has closed over 250 transactions. As a senior investment banker, this expert has often been involved with writing and presenting disclosure materials, issuing NDAs, and protecting confidentiality and trade secrets, all of which are standard procedures and requirements for a senior investment banker.
This expert has served as an expert witness in over 50 cases involving financial matters, including investment banking, marketing, NDAs, presentations, and financial damages. The work has included preparing expert reports and testifying in depositions, jury trials, bench trials, and administrative hearings.
This expert has also taught in doctoral and master's programs at a university, including classes in finance, management, research methods, and financial institutions, and has chaired dissertation committees. Additional academic experience includes serving as a Senior Lecturer in an MBA program at a well-regarded school of management, teaching classes in investment banking, corporate finance, M&A transactions, and financial analysis.
This expert is an experienced expert witness and litigation consultant.
Start Investment Banking Expert SearchExpert Witness #277784
This investment banking expert has over 45 years of experience across investment banking, including a leadership role in the private placement department of an established investment bank for a number of years. This expert currently serves in an advisory role at a boutique investment bank with domestic and international clients.
This expert has been retained by over 180 law firms and several government agencies, and has been retained as an investment banking expert in over 240 cases. This expert is an experienced expert witness and litigation consultant.
Start Investment Banking Expert SearchExpert Witness #279761
This mining and natural resources litigation and investigations expert has over 30 years of global, top-tier experience in the mining and natural resources sector. A former senior executive at a leading global investment bank and company board director, this expert leverages a combination of transactional and industry experience to provide resources-industry valuation and damages expert services. This expert has experience advising on disputes, including acting as the lead expert on a multibillion-dollar damages claim in the mining sector in the Asia-Pacific region.
During an investment banking career spanning over 20 years, this expert advised governments, private companies, and joint ventures on strategy, fundraisings, debt financings, mergers, acquisitions, disposals, and restructurings with a combined deal value in the tens of billions of dollars. This expert developed a deep understanding of the mining value chain, from extraction to delivery to market, and familiarity with many types of resources, including iron ore, gold, nickel, silver, zinc, copper, lithium, titanium, and potash.
This expert has acted as a trusted advisor to leading mining companies in the Americas, Africa, Asia, Western and Eastern Europe, and Eurasia.
Start Investment Banking Expert SearchExpert Witness #279777
This litigation and investigations expert has experience in international and domestic financial services, mining, and natural resources, combining economics, finance, and accounting expertise with market experience in M&A, public equity offerings, and other corporate transactions. This expert has been retained in over 150 disputes involving entities in over 50 countries and, among depositions, trials, and arbitral hearings, has been cross-examined in over 20 disputes. This expert also teaches a full-semester course on valuation to MBA students at a university.
This expert is routinely listed in legal directories and industry publications, including recognition for arbitration and mining expertise, with commentary noting an excellent reputation in the assessment of damages quantum.
This expert's written and oral opinions have been used in U.S. litigation in federal and state courts, foreign litigation, domestic and international arbitrations including ICSID, PCA, ICC, LCIA, SIAC, HKIAC, JAMS, AAA, and UNCITRAL, and proceedings before the U.S. Department of Commerce.
This expert has testified in English, Portuguese, and Spanish and has experience with group accounting under Portuguese and Brazilian law. This expert holds a PhD in Finance and Accounting, has worked on over 10 mining disputes, and is currently serving as a testifying expert in multiple mining-related disputes.
This expert's experience in commercial and investment disputes covers quantum of lost value or profits due to breach of contract, breach of representations and warranties, direct or indirect expropriation in investment treaty arbitrations, reputational harm, and irreparable harm. This expert also performs valuations and forensic accounting analyses related to countervailing duties, appraisal actions, minority shareholder oppression, failing firm analyses, and various M&A disputes and price adjustments.
This expert also advises on market manipulation matters, fraud-on-the-market assessments, event studies, damages or settlement analyses within Rule 10b-5 and Section 11 matters, and insider trading. This expert's professional experience includes working with investment banking clients on live deals, advising on companies' capital needs, examining earnings and various corporate news in real time, and issuing fairness opinions on pricing, terms, and board review processes.
This expert's case experience spans industries such as financial services, technology, pharmaceuticals, manufacturing, infrastructure, telecom, renewable energy, distribution, media, oil and gas, and mining. This expert has worked on behalf of corporations and their officers and directors, investors, funds, sovereign states and entities, private equity firms, financial institutions, auditors, and U.S. and foreign regulators. This expert is extensively published and often presents about damages and mediation to academic and legal audiences.
Start Investment Banking Expert SearchExpert Witness #282235
This construction management/contractor expert is a retired senior-level construction management professional with over 45 years of experience throughout the U.S. on large-scale projects, including high-rise office, four- and five-star hotels, luxury residential and mixed-use, healthcare replacement and renovation, governmental, educational, investment banking, trading floor, data center, houses of worship, biopharmaceutical, light manufacturing, and high-end retail projects.
This expert has led project teams on large, complex urban projects through preconstruction and construction phases, commissioning, turnover, and project closeout. This expert also has experience building apartments, condominiums, hotels, and schools and previously served in construction project management roles.
This expert is experienced in expert witness and litigation consulting work.
Start Investment Banking Expert SearchExpert Witness #282744
This FINRA/broker compliance expert has over 30 years of financial services industry experience, with a brief hiatus while completing a law degree. Within the financial services industry, this expert has acquired broad knowledge and experience from both business operations and legal/compliance perspectives. This expert has held various compliance, operations, and corporate finance roles with member firms. This expert is a member of the Financial Industry Regulatory Authority ("FINRA") Arbitrator Roster and serves as a Non-Public Arbitrator for securities industry matters. This expert is also qualified as an arbitrator for the National Futures Association (NFA) in matters relating to violations within the commodities and derivatives marketplace.
This expert has worked on over 25 cases in recent years involving a range of issues, including U-4/U-5 matters, fiduciary duty matters, investment banking matters, and supervision of Registered Representatives/Financial Advisors. This expert has also testified on several occasions before FINRA Arbitration panels.
Start Investment Banking Expert SearchExpert Witness #288043
This investment banking expert is a seasoned investment management executive and Chartered Financial Analyst? (CFA?) with over 30 years of experience across global corporate credit, high yield, emerging markets, and distressed investing. This expert has served in senior executive and investment roles, including as a chief executive and in senior positions at prominent investment management firms, advising corporate debt investors and issuers and leading investment strategy, portfolio management, credit research, and trading across bonds, loans, and derivatives.
This expert has extensive experience evaluating and preparing investor communications, including Series A and institutional investor presentations. The work includes assessing best practices for investor presentations, with particular emphasis on the accuracy, clarity, and confidentiality of sensitive financial and proprietary information. This expert's work routinely involves assessing how non-public financial data, forward-looking projections, and investment strategies are disclosed and protected in investor materials. This expert holds an M.B.A. in Finance from a prestigious graduate business school, a B.S. from a university, and is a Chartered Financial Analyst? (CFA?).
This expert has over 25 years of practical investing experience as an analyst, portfolio manager, and chief investment officer. In these roles, this expert has reviewed thousands of investor PowerPoint presentations, marketing decks, and related offering materials, including private placement memoranda and prospectuses. This expert has also created and supervised the creation of marketing decks and related offering materials with investment bankers associated with loan and securities offerings made by investment vehicles managed or helped to manage.
This expert has participated in thousands of investor meetings where investor presentations and related offering materials were discussed. Some of these marketing materials and associated meetings involved situations concerning trade secrets and patents. With respect to best practices, this expert has experience creating and executing non-disclosure agreements, anonymized teaser documents, password-protected secure data rooms, and centrally controlled master versions of certain documents. Related experience with distressed and private debt involved numerous situations involving possession of material, non-public information and compliance rules associated with information confidentiality.
This expert is an experienced expert witness and litigation consultant. This expert has been deposed multiple times and has testified in federal court and FINRA arbitration.
Start Investment Banking Expert SearchExpert Witness #301883
This economist expert holds a Ph.D. and is a court-certified expert specializing in business valuation, valuation methodologies, antitrust, class-action damages, trademark infringement, lost profits, and disgorgement. This expert has authored over 15 expert reports, given a number of depositions, and provided testimony in trial and hearing settings.
This expert holds a Ph.D. and M.A. in Quantitative Economics from a university and a B.A. in Economics and Finance from a liberal arts college. Academic experience includes teaching corporate finance, investments, financial statement analysis, and econometrics at several universities. Prior roles include investment banking at a financial-services firm, where this expert conducted valuations, due diligence, and financial analysis for acquisitions and offerings in the financial-services sector. This expert has presented at national conferences, served on policy panels, and remains active in professional and public-facing economic work.
This expert's expert-witness work spans antitrust damages, trademark and false-advertising disputes, DCF valuations, and complex economic modeling. Analyses have been admitted in multiple federal and state cases, including significant antitrust matters and major valuation and breach-of-contract disputes. This expert has also provided influential public-policy research, including financial and rate-impact modeling for a public utility.
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