Financial Brokerage Expert Witnesses
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Financial brokerage expert witness candidates typically have a background in the banking or financial services industry. While many experts have expertise in the financial services industry, an expert witness carries the additional responsibility of providing testimony before the court in a manner whereby lay people can understand the litigation matters and evidence.
A financial brokerage operation offers a wide range of products and services, and can generally be divided into three major financial institution types:
- Full-service brokerage: A professional financial adviser/broker representing an investor, and managing all investment products and decisions, with ongoing advice and support.
- Discount brokerages: Lower commissions, but don’t provide investment advice or analysis.
- Robo-advisors: Automated investment advisory platforms that offer investment management services carried out by algorithms with minimal human intervention.
Representative litigation matters that call for an expert in financial service matters involve issues pertaining to:
- fiduciary duty,
- hedge fund investments,
- FINRA arbitration,
- mutual fund investments,
- financial planning and wealth management,
- securities arbitration,
- securities lending, and
- securities fraud.
Litigation support by a financial brokerage firm expert could represent either the plaintiff or defendant. Work could include a case review, arbitration, expert report preparation, expert testimony, and/or courtroom testimony. In a high-profile case, or litigation involving a significant financial stake, a law firm may request an expert with prior expert witness testimony experience. In addition, clients may seek a securities expert 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 financial service matters, including those involving financial brokerages.
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Financial Brokerage 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 Financial Brokerage experts known by Cahn Litigation Services. These bios are provided to give lawyers a sense of the Financial Brokerage 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 Financial Brokerage 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 Financial Brokerage Expert SearchExpert Witness #247315
This expert has many years' experience with financial institutions, and specifically with the lending, underwriting, and refinancing of real estate transactions. This expert has been designated as an expert witness in over eighty matters and has extensive experience in drafting expert reports for both state and federal litigation matters. This expert's skill as an expert witness brings to bear experience as a Bank President, the CEO of a mortgage brokerage, and Vice President and Chief Lending Officer at more than one lending institution. This expert understands the complexities of financing and refinancing and has had direct responsibility for lending and its ancillary evaluation tasks.
Start Financial Brokerage Expert SearchExpert Witness #259991
This expert leads a national consulting practice. This expert specializes in a wide array of real estate and mortgage specialties, including bank fraud, mortgage origination, underwriting, and sub-prime/stated income fraud analysis. This expert provides litigation consulting and expert witness services, as well as financial research and damage calculations.
This expert’s firm has been retained in over 500 civil and criminal cases, and worked with clients as varied as banks, insurance companies, state government agencies and escrow companies. Two cases concerned FHA brokerage operations. Some of the services this expert provides include:
Litigation Consulting in Civil & Criminal Cases
Mortgage Document Review and Analysis
Evaluation of Bank Underwriting Practices
Evaluation of FHA/VA Underwriting Practices
Lenders' Standards of Care & Due Diligence
Predatory Lending Abuses
Mortgage Broker Malpractice
Real Estate Broker Standards and Practices
Title Issues (title chain, zoning) and Interpretation
Escrow and Title Procedures & Closing Practices
Real Estate-Related Economic Damages
Short Sale Fraud & Wrongful Foreclosure Actions
Lenders' Misconduct in Processing Loan Modifications
Dual-tracking: Loan Modification Concurrent with Foreclosure
Start Financial Brokerage Expert SearchExpert Witness #279739
This real estate expert has spent over 35 years as a prominent real estate broker in a major Midwestern market, selling, buying, and leasing retail centers, office buildings, industrial warehouses, and apartment buildings.
This expert founded a leading brokerage and property management firm and has also served as a receiver and consultant for financial institutions. This expert has provided expert witness services involving brokerage duties, valuation, and other real estate matters.
Start Financial Brokerage Expert SearchExpert Witness #286855
This mortgage expert is a senior banking and financial services consultant with over 30 years of experience in mortgage lending and real estate. This expert has significant experience with industry practices, including employee departures following changes in ownership or leadership, particularly in mortgage loan origination and brokerage operations.
Following retirement from a large financial institution, this expert consults with banks on mortgage lending operations and works with attorneys as a litigation advisor and expert witness.
Start Financial Brokerage Expert SearchExpert Witness #288108
This securities/SEC expert is an attorney who, prior to consulting work, served as a senior legal executive and assistant general counsel to a major retail brokerage firm, overseeing litigation and regulatory matters affecting the firm. This expert managed securities litigation and arbitration matters before moving into a senior regulatory counsel role. In that capacity, this expert handled high-profile regulatory matters involving mutual fund breakpoints, mutual fund market timing, inactive fee-based accounts, and closed-end funds, and also served as senior regulatory counsel to an investment advisory line of business.
This expert began a legal career as a Staff Attorney at the U.S. Securities and Exchange Commission in the Division of Corporation Finance, and later worked as a corporate and securities associate in the office of a well-regarded law firm. This expert became involved in mortgage-backed securities, commodity-based hedge funds, and corporate governance issues. This expert returned to the SEC in the Division of Enforcement, working on matters involving complex financial fraud, insider trading, broker-dealer issues, and revenue recognition. This expert also served as a senior legal officer, corporate secretary, and member of the senior management team of a bank-affiliated brokerage firm.
Start Financial Brokerage Expert SearchExpert Witness #294094
This mortgage brokerage expert has over 15 years of experience in the real estate and mortgage industry, with substantial work in wholesale and retail operations.
This expert has served in a leadership role, including as president of a state mortgage professionals association, and has worked for many years to advance mortgage brokerage practices through strategies focused on client needs, compliance, and adapting to regulatory changes.
With a track record of substantial mortgage originations, experience in strategic brand development, and insight into complex financial and regulatory landscapes, this expert is positioned as a leader and thought partner in mortgage brokerage business practices.
Start Financial Brokerage Expert SearchExpert Witness #299816
This golf brokerage expert is a CPA and real estate broker with decades of experience in residential community and golf facility development, marketing, management, acquisition, turnaround, and finance.
This expert has deep expertise in physical property due diligence, financial feasibility, acquisitions, and operations management, with a track record of revitalizing underperforming golf assets and generating significant returns for owners, investors, and municipalities. This expert's work has involved transforming distressed and stagnant golf properties into profitable, customer-focused destinations.
This expert's active management approach limits portfolio size to allow focused, hands-on leadership from principals and key executives. Over more than 25 years, this expert has owned or managed dozens of golf facilities across diverse U.S. markets, including resort, private, and municipal courses. These properties have experienced measurable improvements in top-line revenue and net operating income.
Representative results include turning substantial operating losses into positive net operating income within several years, achieving significant annual revenue growth at a golf club, and substantially increasing revenues at multiple clubs.
This expert has extensive background in golf course acquisition, due diligence, turnaround strategy, and finance, including prior work with golf management and investment organizations. Through consulting work, this expert provides acquisition due diligence, operational analysis, business planning, and expert witness services to owners, investors, and legal teams nationwide.
This expert and this expert's team have experience as expert witnesses and litigation consultants.
Start Financial Brokerage Expert SearchExpert Witness #303699
This energy economics expert founded and leads a boutique advisory firm focused on energy commodity markets.
Before founding the firm, this expert held roles in energy trading, risk management, quantitative analysis, derivative structuring, and commodity marketing at leading energy trading companies and institutional brokerage firms.
Insights from this expert have been featured in major financial news outlets and leading industry publications. This expert is also a frequent speaker at industry conferences and guest lecturer at leading universities worldwide.
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