Equities Expert Witnesses
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Equities 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 Equities experts known by Cahn Litigation Services. These bios are provided to give lawyers 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.
Start Equities Expert SearchExpert 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.
Start Equities Expert SearchExpert 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.
Start Equities 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 Equities Expert SearchExpert 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.
Start Equities Expert SearchExpert 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.
Start Equities Expert SearchExpert 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.
Start Equities Expert SearchExpert 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.
Start Equities Expert SearchExpert 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.
Start Equities Expert SearchExpert Witness #286971
This shipping finance expert holds a Ph.D. in Finance, an M.Sc. in Shipping, Trade, and Finance, and a B.Sc. in Economics, and is a professor of shipping finance and risk management at a leading business school.
This expert has expertise in the application of quantitative-based methods in shipping, including valuation of freight derivative contracts, cash-flow modeling of shipping projects, shipping finance, shipping equities, and alternative forms of shipping finance.
This expert specializes in shipping finance, performing research, lecturing, and consulting on topics such as freight contract and ship valuation, shipping risk management, and chartering.
Start Equities Expert SearchExpert 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.
Start Equities Expert SearchExpert 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.
Start Equities Expert SearchExpert Witness #296466
This financial and valuation expert holds a CFA credential and provides financial and valuation insights and analysis in damages and forensic investigations. This expert has provided expert evidence on valuation and damages in several international cases and arbitrations and has been recognized by a well-regarded legal ranking publication as an emerging arbitration leader.
This expert has over 20 years of analytical and institutional investing experience in emerging and frontier markets. With a deep understanding of competitive and business environments across many countries, this expert conducts research and valuations across multiple sectors. This expert has helped institutional investors invest in these markets using various structures, and the work has received numerous awards for high returns through market-leading strategies.
This expert's experience includes senior investment and portfolio management roles at investment firms focused on emerging markets, including investment committee and board-level responsibilities.
This expert worked in the Middle East for over 15 years and was responsible for building research teams at regional financial institutions. This expert also worked in Asia for over 15 years and began a career in South Asia as a financials analyst and investment strategist with an institutional equities team.
Start Equities Expert SearchExpert 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.
Start Equities Expert Search