Equity Broker Expert Witnesses

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Equity Broker 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 Equity Broker experts known by Cahn Litigation Services. These bios are provided to give attorneys a sense of the Equity Broker 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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