Investment Adviser Expert Witnesses
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What is an investment advisor expert witness?
Investment adviser expert witness candidates typically have backgrounds in the banking or financial services industry. The chosen expert may hold a Chartered Financial Analyst (CFA) certification, a Certified Financial Planner (CFP) or Accredited Investment Fiduciary (AIF) designation, or be a licensed Certified Public Accountant (CPA). While many experts have experience in the financial services industry, an expert witness carries the additional responsibility of providing testimony before the court in a manner whereby lay people can understand the litigation matters and evidence.
What types of cases require an investment advisor expert witness?
An investment adviser provides investment advice to others in relation to buying, selling and/or holding investments. In 2007, NASD merged with the regulation arm of the New York Stock Exchange to form the Financial Industry Regulatory Authority (FINRA). FINRA oversees all stock market operations in the United States.
Investment advisor expert witness case examples
Representative litigation matters that have utilized the services of an investment advisor have involved issues pertaining to:
- registered investment adviser (RIA) fiduciary duty,
- forensic accounting,
- anti-money laundering,
- hedge fund asset management,
- private equity due diligence,
- derivatives risk management,
- broker-dealer relationship,
- FINRA arbitration,
- partnership dispute resolution,
- investment banking,
- financial institution valuation,
- investment adviser standard of care,
- securities litigation,
- mutual fund investment management,
- real estate portfolio manager ethics,
- financial planning, wealth management, life insurance, and retirement plans,
- securities arbitration, and
- annuities.
What litigation support work might an investment advisor expert witness be expected to perform?
Litigation support by an investment adviser could represent either the plaintiff or defendant. Expert witness services could include case reviews, arbitrations, research and authoring expert reports, depositions, and courtroom testimony. In addition, clients may seek a financial advisor or securities industry expert for pre-litigation consulting services.
Cahn Litigation Services has the experience required to turn a search for an investment advisor expert witness around quickly, providing the right balance of expertise and testimony experience.
Cahn Litigation Services knows Investment Adviser expert witnesses that are available for litigation support. Because all of our expert witness searches are customized to attorneys' precise specifications and preferences, attorneys are encouraged to discuss search parameters with a Cahn search specialist.