Financial Expert Witnesses

What is a financial expert witness?

Financial expert witness candidates typically have many years of experience in the field, with areas of expertise encompassing accounting, economics, banking, securities, and/or corporate finance. Financial management expert witnesses and financial planning expert witnesses may provide expertise in matters that involve financial tools and retirement planning. Financial market expert witnesses may be required for NASD and public offerings. Depending on the project at hand, the right expert may be an accredited Certified Fraud Examiner (CFE), a Certified Financial Planner (CFP), or have a specific background as a forensic accountant.

What types of cases require a financial expert witness?

Financial expert witnesses can provide litigation support for matters involving corporate finance, financial trades, and financial planning. Cases may be civil, criminal, or class-action and require not only expertise but the ability to communicate findings for ease of understanding.

Financial expert witness case examples

Representing a plaintiff or defendant, Cahn Litigation Services has completed numerous searches for litigation matters requiring financial expert witnesses. Representative cases have included:

• forensic accounting (for financial reporting misconduct),
• an investment banking dispute resolution in New York,
• FINRA regulations (with a securities expert),
• Certified Public Accountant (CPA) duties,
• economic damages (for a variety of issues, including personal injury),
• real estate lender liability (utilizing a banking expert),
• real estate appraiser arbitration,
• intellectual property valuation,
• hedge funds due diligence,
• derivatives,
• cash flow from financing activities (CFF) methodology,
• financial institutions fraud investigation in Federal Court,
• FINRA arbitration,
• LLP business valuation, and
• financial forensics to support malpractice litigation.

What litigation support work might a financial expert witness be expected to perform?

Litigation support by a financial expert witness could include financial analyses, economic damages calculations, financial statements review, deposition testimony, research and authoring expert reports, providing expert opinions, arbitration, and/or courtroom testimony. In addition, a law firm may seek an accounting expert for pre-litigation consultant work. A financial expert witness needs to possess the ability to provide expert testimony in a manner such that a judge and jury can understand the evidence, as well as be prepared to endure the scrutiny of a cross-examination. In a high-profile case, or litigation involving a significant financial stake, lead counsel may request a professional with prior expert witness testimony experience.

Cahn Litigation Services has the experience required to turn a search for a financial expert witness around quickly, providing the right balance of expertise and testimony experience.

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Financial 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 Financial experts known by Cahn Litigation Services. These bios are provided to give lawyers a sense of the Financial landscape.

• Expert Witness #248578

  This expert is a Certified Regulatory Compliance Professional and brings many years of securities industry expertise to the table. This expert's career includes serving as Chief Compliance Officer of public and private financial services institutions, managing and directing the AML, compliance, controls and risks of various businesses in the financial services industry and years of sales and management in other retail businesses. This expert held Municipal Principal responsibilities at financial services and supervised options business at financial services institutions as either Senior Registered Option Principal or Compliance Registered Option Principal. This expert served on the FINRA Committee that created the Operations Professional Series 99 and is a frequent panelist and facilitator at industry conferences and regional and national meetings. This expert is well-prepared to serve as an expert witness for financial services institutions from testifying as the company representative for three financial services institutions in 15 arbitrations. To remain prepared for paid board service this expert is trained in SOX requirements.

  
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• Expert Witness #251896

  This expert began a career as an internal auditor with a National Bank. This expert helped community financial institutions as internal auditor, controller and chief financial officer. As a consultant this expert has assisted community financial institutions with investment management, asset liability management, investment banking, compliance issues, internal audit, deposit and loan operations, company policies and general accepted accounting principles. This expert has assisted in a capital raise for de-novo financial institutions. This expert has spent many years in the financial institution, and mortgage industries. This expert understands, first hand, the impact of changes that have occurred in these industries and most importantly, how these changes impact customers; especially business owners' ability to obtain capital and loans that they need to operate and grow their companies. That's why a large part of this expert's practice is devoted to helping consult with community financial institutions, including non-bank, as these changes affect them.

  
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• Expert Witness #253356

  This expert is a Director in a Dispute Consulting group. This expert has provided litigation consulting services for purposes including professional malpractice, financial reporting fraud, automotive industry OEM and supplier claims, business interruption claims, post-acquisition disputes, internal corporate investigations, forensic accounting issues, and franchise related disputes. In connection with these services, this expert regularly performs fact finding and discovery assistance, lost profit calculations, business valuations, lost earnings and wages computations, and other financial analyses. This expert has presented before boards of directors and the Department of Justice with findings related to financial reporting fraud, accounting issues and forensic audits as well as compliance related issues involving design and implementation of financial and operational controls.

  This expert's experience encompasses a wide range of industries and engagements including manufacturing, automotive, financial institutions, life sciences, professional practices, retail, software, real estate, food manufacturing, agriculture, physician & professional practices, private equity funds and energy. This expert has presented continuing education seminars on forensic accounting and fraud related topics.

  
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• Expert Witness #253873

  This expert is a founding member of an independent business advisory and transaction services consultancy. This expert brings to the table many years of valuation, financial analysis and litigation support experience, specializing as a consultant and expert in the fields of forensic accounting, economic damages analysis in commercial disputes, business valuation and automotive industry issues. This expert also has served as financial advisor to bank groups and creditor committees in connection with financial restructuring. Prior to founding the firm, this expert was the partner in charge of the Financial & Economic Consulting practices of a large accounting firm. This expert also served as an associate, manager and partner in the firm's assurance and corporate finance practices. This expert has served as a financial expert in well over two hundred engagements involving testimony in deposition, trial and alternative dispute resolution settings as an expert in auditing and accounting, commercial economics, financial and operational analysis, fraud investigation, determination of economic damages and business valuation. This expert has also participated in hundreds of additional commercial dispute engagements in a consulting role, a mediation role or where resolution of the matter was achieved without expert testimony. Matters addressed in these engagements include:

  -  Contract and business tort claims for lost profits and other damages

  -  Stockholder disputes and post-acquisition disputes

  -  Financial reporting fraud and asset misappropriation

  -  Securities law enforcement actions

  -  Construction and government contracting claims

  -  Intellectual property disputes

  -  Class action damage claims

  -  Professional malpractice claims

  -  Business interruption claims

  This expert has served as a sole arbitrator, court-appointed expert and arbitration panelist in matters involving commercial disputes, post-acquisition disputes and stockholder valuation disputes. This expert has been a course instructor, seminar leader and speaker at numerous professional conferences and continuing education programs on topics including auditing and accounting, litigation consulting, accounting theory and practice and forensic accounting and has been involved in the MICPA Litigation Consulting and Business Valuation Committee and the MICPA Fraud Issues Task Force.

  
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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 #253889

  This expert is a founding member of an independent business advisory and transaction services consultancy. This expert specializes in serving as a consultant or expert in the fields of forensic accounting, economic damages analysis in commercial disputes, business valuation and fraud investigation and detection. This expert also serves as a financial advisor to debtors, bank groups and creditor committees in corporate bankruptcy and restructuring matters. This expert has provided litigation consulting services in hundreds of large and complex commercial disputes and corporate reorganization matters. This expert regularly performs fact finding and discovery assistance, lost profit calculations, business valuations, lost earnings and wages computations, market studies, and other financial analyses. This expert has served as an expert and consultant in the quantification of economic damages in matters ranging from contract claims to business interruption claims, construction and government contracting claims, intellectual property matters, accounting malpractice, stockholder and post-acquisition disputes, antitrust matters, and personal injury claims. As a Certified Fraud Examiner, this expert leads engagements in the investigation, detection and quantification of financial reporting fraud and asset misappropriations. This expert is the co-developer and author of a case study on fraudulent financial reporting published by the American Institute of Certified Public Accountants for distribution to academic institutions. This expert also has expertise in complex data analysis and financial modeling.

  
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• Expert Witness #257455

  This expert has many years' experience in bank operations, consulting, and expert witness testimony. This expert specializes in the areas of bank payment operations, check/image clearing and settlement, teller and ATM deposit processing, float, ACH and electronic payment processing, and correspondent banking. This expert is experienced as an expert at trial, in depositions, and in reports prepared for the court. This expert brings a unique combination of hands-on management and consulting experience with the ability to condense complex financial procedures into clear, understandable terms for the court and the jury. In addition, this expert's contacts and access to management at key financial institutions keep this expert up-to-date on procedures, products, technology, and regulation. This expert began an expert witness career years ago, representing a major financial institution in a multi-million dollar lawsuit involving posting procedure, kiting, check processing, and float management. Since the successful outcome of that suit this expert has continued to accept cases, along with occupations as a consultant and as a financial services company employee.

  This expert began a banking career in trainee positions with a Federal Reserve Bank and as a financial analyst with a depository trust company. This expert's banking operations management positions included coordinating check clearing services, designing float reports, and reducing non-earning assets. As a Senior Principal, a bank payment, consulting and technology provider, this expert provided project management expertise and consulting to a client base composed primarily of the top 25 banking institutions in the US. This expert's specific areas of expertise addressed market segmentation, deposit product design and analysis, electronic payments, revenue enhancement, and check/ACH/image processing.

  This expert was editor and author of a bi-monthly, national newsletter for bank operations, check processing, and ACH professionals. This expert conducted research on trends in bank operations, cash management, and fraud detection and control.

  This expert has been active in industry forums, conducting presentations for the Bank Administration Institute (BAI), Association of Financial Professionals, and The Association for Work Process Improvement. This expert has designed and facilitated national seminars on payment issues and has fostered thought leadership through white paper publications on Regulation CC, ACH Processing, and Correspondent Banking.

  
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• Expert Witness #250138

  Founder and President of an independent financial technologies consultancy, this expert has designed and managed major management consulting and technology projects for 58 major domestic and foreign banks and Wall Street firms, including the design, purchase, and installation of more than $2.4 billion worth of telecommunications, computer technology, software and specialized hardware. This expert works with the entire spectrum of modern financial services technology, including trading telecommunications and computers, LAN/WAN design, communications cabling, wireless communications, front and back office financial processing systems, security software and devices, and special hardware and software projects of all types. This expert serves as an Expert Witness in telecom and computer matters in state and federal courts, and also does General Management Consulting Engagements, Market Research and Strategic Planning. This expert has both courtroom and deposition experience. A respected designer of original computer hardware and software for the financial services industry, this expert is the inventor of a Wireless Integrated Trading System, a 20Mb/s bandwidth infrared system used for trading room disaster recovery; an electronic office access system, installed in major office buildings nationwide; and a microprocessor system for measuring productivity in 'moving line' situations, installed at shuttle operations at a major airport and various bank branches. This expert completed the systems design and programming of an online foreign exchange trading system for a hedge fund. This expert studied Computer Science, Business Administration, and Electronics Engineering. This expert writes for technical media, and is the author of several books on banking, computers and telecommunications, as well as many articles in the financial press. This expert is a Member of IEEE, AIIE, ASM, and EFTA.

  
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• Expert Witness #248534

  This expert divides time between being an adjunct professorship at a Business School at a major University, and as a consultant. Prior to the consultancy, this expert was a Senior financial Economist and then financial Team Leader at a Federal Reserve Bank. This expert holds a PhD and a Masters in Operations Research. This expert is extremely well published, with over 10 professional publications and has deep experience as an expert witness in financial and trading litigations.

  
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• Expert Witness #253891

  This expert serves as a director of an independent business advisory and transaction services consultancy. This expert is a Certified Public Accountant (CPA), a Certified Valuation Analyst (CVA), Accredited in Business Valuations (ABV), and Certified in Financial Forensics (CFF) and has expertise in tax, accounting, litigation support, business valuation, complex data analysis, financial modeling and has developed various financial modeling tools. This expert has been involved in a wide range of litigation consulting services, providing expertise in the quantification of economic damages in matters ranging from patent and trademark infringement, misappropriation of trade secrets, shareholder disputes, business interruption claims, professional malpractice, and contract claims. In connection with these services, this expert regularly performs fact finding and discovery assistance, lost profit calculations, reasonable royalty rate calculations, business valuations, lost earnings and wages computations, and other financial analyses. This expert's business valuation experience includes valuations for business disputes, shareholder agreements, mergers and acquisitions, divorce, and prenuptial agreement purposes. The valuations have encompassed non-marketable, controlling and minority interests in corporations, partnerships, and limited liability companies. This expert brings to the table many years of accounting experience including supervising, reviewing and preparing financial reports, budgets, forecasts, projections, and business plans. This expert has been a speaker at professional conferences on topics including intellectual property damages and business valuations. This expert has been on the MACPA's planning committee for the Litigation and Business Valuation Annual Conference, and the Litigation Mock Trial, and the Fraud Issues Conference. This expert has also volunteered as an expert witness in the Institute for Continuing Legal Education's Deposition Skills Workshop.

  
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• Expert Witness #266541

  This expert has many years of banking and lending experience, specializing in credit risk. This expert completed a 4.5MM residential real estate case that required forensic evaluation of underwriting, appraisal process, collections, loan modification applications/decisions and compliance with government programs. The discovery in this case exceeded 60,000 pages and thousands of documents. This expert has completed a report and deposition of a $50MM fraud case requiring the evaluation of a multi-year relationship of underwriting, closing procedures, ongoing administration, collateral administration, financial information and analysis.
  
  During and after the real estate crash in 2006-10, this expert was part of a specialized residential real estate team that evaluated thousands of defaulted mortgages coast to coast. This involved forensic evaluation of fraudulent activity in mortgage lending, compliance with government modification programs, foreclosure processes, appraisal processes, collections, underwriting and documentation. This expert led a forensic evaluation of a portfolio of fraudulently underwritten home mortgages perpetrated by a rogue staff of a bank branch and documented a package for the FBI/DOJ for prosecution. This expert has written expert witness reports and has been deposed.

  
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