Derivatives Expert Witnesses

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What is a derivatives expert witness?

Derivatives expert witness candidates typically have a background in securities law, securities regulation, and/or financial markets. While many professionals have expertise in securities matters, an expert witness carries the additional responsibility of providing testimony before the court in a manner whereby a judge and jury can understand the litigation matter and evidence.

What types of cases require a derivatives expert witness?

Securities are tradable financial assets, and can be categorized into three main types:

• Debt securities (for example – banknotes, bonds and debentures)
• Equity securities (for example – common stocks)
• Derivatives (for example – forwards, futures, options, and swaps)

Financial derivatives are agreements that establish value through the value of an underlying asset. Derivatives have no value of their own, but depend on the asset to which they are linked. case involves a credit derivative, interest rate swaps, derivatives trading, complex securities, hedge fund issues, mortgage backed securities, mutual funds, or any matter in the world of financial investments.

Derivatives expert witness case examples

Representative matters that call for an expert in financial derivatives litigation involve issues pertaining to:

• insider trading,
• securities arbitration,
• securities fraud,
• mortgage backed securities,
• investment banking,
• financial services intellectual property,
• fiduciary duty, and
• securities class action.

What litigation support work might a derivatives expert witness be expected to perform?

Litigation support by a derivatives expert could represent either the plaintiff or defendant, and work could include case reviews, arbitrations, research and authoring expert reports, expert testimony, and/or courtroom testimony. In a high-profile case, or litigation involving a significant financial stake, a law firm may request a specialist with prior expert witness testimony experience. In addition, counsel may seek a derivatives expert or investment 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 securities and other financial services matters. Cahn Litigation Services has the experience required to turn a search for a derivatives expert witness around quickly, providing the right balance of expertise and testimony experience.

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Derivatives 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.

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The below expert witness bios represent a small fraction of those Derivatives experts known by Cahn Litigation Services. These bios are provided to give lawyers a sense of the Derivatives landscape.

• Expert Witness #262128

  This expert specializes in derivatives, structured finance/securitization, finance and securities matters. This expert's experience includes asset-backed securities (ABS) of various types, collateralized loan obligations (CLOs), mortgage-backed securities (MBS), collateralized debt obligations (CDOs), credit default swaps (CDS), interest rate swaps, credit-linked notes (CLNs), repurchase ("repo") agreements and securities fraud.

  As a transactional attorney this expert has been an Associate, Special Counsel or Partner at several of the leading transactional law firms in the United States. As an expert witness and/or consultant, this expert has worked with many of the leading litigation firms, and leading litigation departments of full-service firms, in the country.

  This expert has drafted, reviewed and negotiated 100s of interest rate swap agreements. At one time this expert was the main swaps attorney for a firm, which at the time was the leading swaps dealer in the world. As legal representative to the International Swaps and Derivatives Association (ISDA) this expert was heavily involved in the drafting and negotiation of the Master Agreement forms that are still used throughout the swaps industry. This expert has served as an expert witness and consultant in a number of cases involving interest rate swaps.

  This expert is often called upon to participate in or moderate various seminars.

  This expert served as Chairman of the Structured Finance Committee of a State Bar Association. This expert is listed on American Arbitration Association's roster of arbitrators.

  
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• Expert 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.

  
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• Expert Witness #214489

  This expert is the President and Founder of a preeminent real time trading technologies company. This expert's firm specializes in fast-moving "real-time" financial markets and performing calculations related to them. Since its founding, this expert's firm has had many consulting clients globally including several regulatory bodies, major broker-dealers, large and medium sized banks as well as hedge funds. This expert has also been requested as a specialized expert witness in complex court cases involving real time trading systems, derivatives, structured products, hedge funds and risk management. This expert has given three-day seminars on energy markets to some of the leading power companies in the world. This expert has a PhD in Computer Science and is very well suited to explaining complex software and mathematical issues to lay people.

  Among this expert's software products are:

  - A real time prediction engine. The Server Program retrieves market data and, in real time, issues predictions to the Client Application(s).

  - An iPhone application developed in conjunction with an Options Exchange to be used to retrieve real time options information, calculate and display theoretical prices and hedging parameters.

  This expert was a lecturer Master of Science in Financial Mathematics program, Mathematics Department, and has taught numerous courses, seminars, lectures, and talks at various banks, regulatory bodies, and professional seminars around the world on a variety of topics. These presentations are known for combining cutting edge analytics with real world applications and intuitive examples with minimal math. This expert earned a B.Sc. in Mathematics and Computer Science, an M.Sc. in Computer Science and a Ph.D. in Computer Science. This expert completed a post-doctoral fellowship at the Computer Science Department.

  This expert is frequently interviewed by the press from around the world.

  
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• Expert Witness #262168

  This expert received a Ph.D. in Economics. This expert has been part of the adjunct faculty at two universities. This expert is well published (including articles on interest rate swaps) and is a frequent contributor to industry and academic conferences. This expert is very familiar with Bloomberg software and the corresponding screens for interest rate swap transactions. This expert has been an expert witness in nine different matters.

  
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• Expert Witness #233053

  This expert received a BS and D. SC. and has taught finance at multiple universities. This expert has access to Bloomberg terminal screens past and present and is very familiar with their content and setup. This expert is a noted rate-swaps and derivatives expert, recently serving as an expert witness in interest rate swap matters and consulting in swaps transactions and in other derivative markets. This expert formerly served on a research staff, providing economic data to ivy league-member business schools. As a commodity trading advisor, this expert managed a multi-million-dollar funds association.

  
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• Expert Witness #262333

  A former federal enforcement attorney and veteran in regulatory compliance and white-collar defense, this expert has expertise and consults with clients throughout the United States in areas of internal investigations, enforcement matters, regulatory issues, and corporate transactions, including advising on mergers and acquisitions in highly complex regulatory structures. This expert has held the Series 7, 24, and 66 licenses with FINRA. This expert also serves as a National Futures Association and FINRA arbitrator.

  Prior to forming a firm, this expert was a senior vice president and chief compliance officer of a global financial services and FINRA member firm. This expert was responsible for all aspects of compliance and regulatory responsibilities for multiple registered investment advisors, mutual funds, alternative investments, and a broker-dealer. This expert focused on identifying and assessing the compliance risks of the firms, creating and implementing policies and procedures that address and allows compliance risks to be managed, and reviewing the policies and procedures to determine their continued adequacy and effectiveness.

  Previously, this expert served as a senior trial attorney for a Commodity Futures Trading firm managing a team of trial attorneys, investigators and support staff in the investigation and prosecution of market manipulation, market abuse and fraud in the futures and derivatives markets, advising staff in areas of investigations, leading investigations of high profile matters, and facilitating effective engagement and collaborative work with other U.S. regulatory and prosecutorial bodies, international regulators, and exchange staff. This expert served as a liaison to the Office of General Counsel in the revision of policies and procedures pursuant to regulatory reform, including Dodd-Frank, and named to an interagency task force on the collection and retention of sensitive data.

  This expert began a career in the Government Compliance, Investigations, and Litigation, White-Collar Criminal Defense, Commercial and Business Litigation, and Digital Discovery and Records Management practice groups. This expert represented clients in the prosecution and defense of complex business disputes in domestic and international jurisdictions, served as counsel to publicly and privately held companies undergoing both internal and external investigations, assisted clients in recognizing and avoiding the expanding risk of corporate criminal liability, and designing and implementing targeted corporate compliance programs. This expert was a founding member of the electronic discovery practice group and has an E-Discovery Best Practices Certification.

  This expert has first-chaired trials representing both plaintiffs and defendants in various commercial, criminal, and collection matters.

  
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• Expert 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.

  
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• Expert Witness #258858

  This fund management and due diligence expert is a CFA Charterholder with extensive experience in investment consulting, alternative investment manager diligence, institutional investment evaluation, and fixed income products.

  This expert founded an investment consulting firm focused on helping foundations and family offices invest with institutional-level skill and diligence. The firm conducts diligence on alternative investment managers and provides pensions, endowments, and foundations with independent evaluations and searches for investment consultants and OCIOs. It advises on approximately $20 billion in client assets.

  Before founding the firm, this expert worked for over 5 years at a major global financial institution, where this expert co-founded a stable value group with peak program assets of approximately $15 billion. This expert also marketed OTC interest rate derivatives, developed structured financial products, and managed a fixed income transition management business for offshore pension plans.

  This expert previously served for over 5 years as an Economist and bank regulator at a Federal Reserve Bank. This expert holds an MBA in Finance from a prestigious business school executive program and a BA in Economics from a prestigious university.

  This expert has expert witness experience involving investment due diligence, redemption decisions, exposure reduction, and the impact of recommendations by corporate executives to future investors.

  
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• Expert Witness #280284

  This financial damages expert holds a senior executive role at an economic consulting firm specializing in complex litigation and regulatory investigations related to financial markets. This expert provides consulting and testimonial expertise in derivatives, fixed income securities, market microstructure, cryptocurrency, and blockchain technologies.

  This expert has authored several books on market risk and financial regulations and has been published in several internationally renowned journals. This expert has presented to audiences around the world on topics including economics in litigation contexts, blockchain economics, cryptocurrency and Bitcoin, and managing liquidity and liquidity risks.

  
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• Expert 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.

  
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• Expert 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.

  
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• Expert Witness #290164

  This PFAS testing expert has over 40 years of experience in chemistry and materials research, consulting, and product formulation. Recent work has included evaluating PFAS properties, developing oil product derivatives, and developing anti-microbial agents. This expert has designed novel methods for analysis using atomic absorption spectroscopy, emission spectroscopy, gas chromatography, high pressure liquid chromatography, mass spectrometry, thermo-gravimetric analyses, and scanning electron microscopy. This expert has designed and conducted studies evaluating proposed and existing technologies for a variety of industrial applications.

  This expert has worked with federal environmental, defense, engineering, and energy agencies through research grants and a government cooperative research arrangement. This expert also held a laboratory programs leadership role for a hazardous materials research center and was responsible for establishing and managing laboratory programs to evaluate the chemical fate and dissipation of substances in compliance with FIFRA and TSCA requirements. During this expert's tenure with that center, the laboratory analyzed water and sediment as part of an independent study on the environmental effects of a major diesel oil spill into regional rivers.

  This expert holds B.Sc. and M.Sc. degrees in Physics and a Ph.D. in Biological Sciences with a focus on Analytical Biochemistry and Microbiology. This expert is a member of a prominent chemistry association, has authored over 25 publications, and has over 15 issued patents and over 15 pending patents in the United States and other countries.

  
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• Expert Witness #295698

  This financial services industry expert has hands-on professional experience with market data, especially integrating securities identifiers into consolidated databases.

  This expert has designed and built trading systems, portfolio management systems, and risk and valuation systems for many asset classes, including equities, derivatives, credit default swaps, CDOs, MBS, CMBS, and related instruments.

  This expert served in a senior operations and information technology role for a multibillion-dollar structured finance hedge fund platform, managing a multidisciplinary team of software engineers, financial market quants, and technical specialists. The platform invested in and issued CDOs in both cash and synthetic form, with underlying collateral including RMBS, CMBS, and corporate securities. The portfolios included thousands of line items, a large volume of CUSIPs, and numerous RMBS deals and CDO portfolios.

  This expert was responsible for selecting and implementing platform-wide front-, middle-, and back-office systems, as well as developing targeted applications for securities valuation, surveillance, and risk management. This expert previously managed development of a commercial software platform for CDO and CLO valuation and surveillance, and developed intraday risk management software for an equity derivatives trading desk.

  This expert has testified on a number of financial subjects, many of which required operational fluency with securities identifiers.

  
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• Expert Witness #295702

  This financial services industry expert is a senior professional at an economic consulting firm and a member of this expert faculty at a well-regarded university business school, with experience consulting on numerous matters involving valuation of securities across asset classes. This expert has also consulted on market structure, trading activity, and volume analysis in markets ranging from equities and fixed income to structured products and digital assets, including trading of exchange-listed derivatives.

  This expert's prior financial industry experience includes developing trading platforms and working on the operational aspects of measuring portfolio performance. In particular, this expert has worked directly on integrating and mapping unique security identifiers, such as CUSIPs, into in-house security master databases. This expert began a career in banking, working in analyst and management roles at major financial institutions. During this period, responsibilities included daily performance calculations for portfolios and separately managed accounts, which required interfacing with trading desks and middle- and back-office teams, as well as routinely adding new securities to internal securities master databases, primarily relying on CUSIPs.

  Later, this expert managed a Windows-based trading and portfolio management software platform. At the time, the platform was market-leading and provided real-time market quoting information, including prices and market depth, for listed equities to retail investors, while also allowing trading of exchange-listed derivatives.

  
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• Expert Witness #298283

  This financial industry software expert has decades of experience managing data in financial services organizations and has handled instrument types ranging from exchange-traded equities to OTC derivatives. This expert has been involved in building security master databases at major financial institutions and during a major financial institution merger.

  
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