Investment Fraud Expert Witnesses

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Investment Fraud 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 Investment Fraud experts known by Cahn Litigation Services. These bios are provided to give attorneys a sense of the Investment Fraud landscape.


Expert Witness #262333

A former federal enforcement attorney and veteran in regulatory compliance and white-collar defense, this expert has expertise and consults with clients throughout the United States in areas of internal investigations, enforcement matters, regulatory issues, and corporate transactions, including advising on mergers and acquisitions in highly complex regulatory structures. This expert has held the Series 7, 24, and 66 licenses with FINRA. This expert also serves as a National Futures Association and FINRA arbitrator.

Prior to forming a firm, this expert was a senior vice president and chief compliance officer of a global financial services and FINRA member firm. This expert was responsible for all aspects of compliance and regulatory responsibilities for multiple registered investment advisors, mutual funds, alternative investments, and a broker-dealer. This expert focused on identifying and assessing the compliance risks of the firms, creating and implementing policies and procedures that address and allows compliance risks to be managed, and reviewing the policies and procedures to determine their continued adequacy and effectiveness.

Previously, this expert served as a senior trial attorney for a Commodity Futures Trading firm managing a team of trial attorneys, investigators and support staff in the investigation and prosecution of market manipulation, market abuse and fraud in the futures and derivatives markets, advising staff in areas of investigations, leading investigations of high profile matters, and facilitating effective engagement and collaborative work with other U.S. regulatory and prosecutorial bodies, international regulators, and exchange staff. This expert served as a liaison to the Office of General Counsel in the revision of policies and procedures pursuant to regulatory reform, including Dodd-Frank, and named to an interagency task force on the collection and retention of sensitive data.

This expert began a career in the Government Compliance, Investigations, and Litigation, White-Collar Criminal Defense, Commercial and Business Litigation, and Digital Discovery and Records Management practice groups. This expert represented clients in the prosecution and defense of complex business disputes in domestic and international jurisdictions, served as counsel to publicly and privately held companies undergoing both internal and external investigations, assisted clients in recognizing and avoiding the expanding risk of corporate criminal liability, and designing and implementing targeted corporate compliance programs. This expert was a founding member of the electronic discovery practice group and has an E-Discovery Best Practices Certification.

This expert has first-chaired trials representing both plaintiffs and defendants in various commercial, criminal, and collection matters.


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Expert Witness #262346

This expert brings to the table many years of strategic, regulatory, supervisory & compliance experience in the financial services industry. This expert heads a highly successful comprehensive compliance firm. This expert holds FINRA Series 4, 7, 14A, 24, 63 and NFA Series 3, 34 current licenses.

This expert has been:

-  an in-house Chief Compliance Officer for broker-dealers and investment advisors
-  a former regulator with a Board Options Exchange, including Director of Market Regulation
-  SEC enforcement trained
-  well versed on the requirements of why and when registration is required
-  An experienced liaison with all U.S. regulators and exchanges
-  a qualified examiner for annual independent AML audits, main office and branch exams and for submission of new or amended registration applications to FINRA, SEC or the NFA or CFTC or to address regulatory deficiencies, inquiries or undertakings.

This expert has been a member of an Ethics & Business Conduct Committee for many years and has been a member or a Chairperson for hearings of various matters. This expert served as a witness for at least 20 Arbitration Cases + close to 250 cases where charges were issued for a variety of fraud and misrepresentation cases. Since then, this expert has been the internal witness for numerous fraud related cases, including a FINRA Case which involved unsuitable trading. This expert served for a complex case representing a broker-dealer accused of unsuitable and false-misleading representation.


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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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