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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