Equity Broker Expert Witnesses

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Equity Broker 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 Equity Broker experts known by Cahn Litigation Services. These bios are provided to give lawyers 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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• Expert Witness #282687

  This RIA mergers and acquisition/recruitment expert has a B.A. in Business Administration and a J.D. and is an experienced senior investment professional with over thirty-five years of investment management and consulting experience. This expert has broad experience in many aspects of the securities industry, with first-hand experience in RIA mergers and acquisition, trading, clearing, custody, and recruiting and supervising Financial Advisors.

  This expert is a member of a securities expert roundtable and has spent recent years working as a chief operating and compliance officer for mid-sized independent RIAs. Responsibilities have included recruiting and onboarding Registered Investment Advisors. This expert has experience supporting arbitration, litigation, and enforcement matters, conducting internal investigations, and responding to and resolving regulatory investigations and examinations.

  Examples of previous litigation work include interpretation of securities and commodity statements and analysis of transactions; determination of client suitability and improper solicitation; in-depth analysis of options trading and how market volatility affects client holdings; suitability analysis of client investments; discovery of excessive trading ratios, including cost-to-equity, commission-to-equity, and turnover; clarification of client versus broker control of accounts and determination of broker self-interest; assessment of the validity of client complaints; statutory violations of the 33 and 34 Acts; and determination of client/RIA Fiduciary Duty, among other issues.

  
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