Equities Expert Witnesses

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Equities Expert Witness - Sample 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 Equities experts known by Cahn Litigation Services. These bios are provided to give attorneys a sense of the Equities landscape.


Expert Witness #254499

This expert brings to the table many years of experience in investment compliance and administration, with more than half of that in senior administrative roles. This includes overseeing all legal, regulatory, and compliance issues for:

- $11bn asset management firm (hedge funds, separate accounts (including liquid alts, and CLOs);
-  asset management firm with focus on hedge and private equity funds in real estate, credit and equity strategies;
-  hedge fund management company in arbitrage strategies (volatility arbitrage, convertible arbitrage) with respect to funds and managed accounts:
-  a quantitative long/short equity hedge fund and a multi-strategy fund of funds (credit/global macro/equities)

This expert created compliance programs and drafted all necessary materials/policies (including investment adviser registration). Oversaw various operational activities including locating/negotiating office space, and selection of relevant service providers (e.g. prime brokers, administrator, and auditor). Oversaw all regulatory filings and internal/external compliance reviews.


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Expert Witness #262367

This expert is a nationally renowned insurance and securities expert. This expert has been the Chief Compliance Officer of an independently owned national broker/dealer and has held senior management positions in the securities industry for many years.

This expert has taught, consulted, and provided expert testimony on the suitability of insurance products and securities, sales practices, duties of brokers and firms, and adequacy of supervisory systems and due diligence. This expert has been retained in over 500 matters involving securities and has testified extensively as an expert in State and Federal courts and FINRA arbitrations including matters dealing with Broker/Dealer and RIA Compliance, Duties of Brokers, Advisors, and Institutions, Due Diligence, and other topics. This expert frequently lectures on the subject of industry standards and norms, and regulation in both the insurance and securities industries.

This expert provides consulting and expert services to claimants, respondents, financial institutions, state and federal regulators. This expert has been quoted in various industry publications.


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Expert Witness #257722

This expert is a former Assistant Regional Director of the Enforcement Division of the US Securities and Exchange Commission and investigated and litigated sales practice fraud, insider trading, accounting fraud, the sale of unregistered securities and other violations of the federal securities laws. This expert is an attorney and principal consultant and expert witness for a firm handling SEC, FINRA, Commodity Futures Commission and National Futures exchange matters. This expert represents public and private corporate clients and has served as an expert witness in Federal and State court in matters of securities regulation, securities arbitrations and bankruptcies. This expert is well-published and frequently contributes to the media on these topics.


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Expert 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 Authority

This 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 Committee

This 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.


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Expert Witness #248563

This expert has testified in nearly thirty Securities arbitration, litigation, and mediation matters, and has been a consultant in nearly 200 others. This expert has many years of Securities Industry experience that includes experience as a broker, Branch Manager and a senior level executive at corporate headquarters. This expert has served as an NYSE Arbitrator.


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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 #248557

This expert holds an MBA from an Ivy League School and has many years of experience in the securities industry. Currently a founder of an expert witness consulting firm, this expert's expertise extends to security analysis, international transactions, options, futures, and equity and debt instruments. This expert is the former director of a Fortune 500 Company's Options and Stocks and Bonds Departments and co-headed the Options Department at an investment bank. This expert is heavily involved in international arbitrations on securities matters and has provided testimony and inside consulting on numerous Federal District Court matters. This expert is well published, with 30 publications, and has written articles on Punitive Damages and Compensatory Damage Litigation.


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Expert Witness #248514

This expert is a Professor of Law at an Ivy League School. This expert holds a BA and JD, as well as a PhD in Economics. Prior to entering teaching, this expert practiced law with an international law firm, an experience which continues to inform this expert's teaching and scholarly work. This expert's academic interests are in the areas of corporate and securities law, law and economics, and international securities regulation and comparative corporate law. This expert's articles have appeared in many legal publications, and this expert is also the author two books. This expert has taught at several universities, is a member of the Council on Foreign Relations, and the American Law Schools Association. This expert teaches International Securities Regulation, Securities Regulation, Corporate Finance, and Capital Markets Regulation.


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Expert Witness #232336

This expert has many years in Compliance and Supervisory Management and has spent many years in the Securities industry. This expert is a professional trainer and contributor at industry conferences and regulatory authorities. This expert has been a FINRA and NYSE Arbitration Chair and panel member for many years and earned various Securities Brokerage licenses over this expert's professional life. This expert is a seasoned expert witness having participated in over 300 securities litigations and testifying in approximately 150 arbitrations.


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