IRA Expert Witnesses

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IRA 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 IRA experts known by Cahn Litigation Services. These bios are provided to give attorneys a sense of the IRA 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 #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 #258816

This expert is currently a visiting professor of finance at a University. This expert began as an academic and left for an investment company where this expert spent years in various research and financial engineering roles. This expert then joined a Fund Management firm and rose to become the Co-Chief Investment Officer, Alternative Solutions where this expert was responsible for overseeing all aspects of the investment process in the hedge fund of funds business, including discretionary hedge fund portfolios, separately managed accounts, and advisory relationships. This expert managed the Operational Due Diligence teams responsible for reviewing all current and pending investments, and actively conducting on-site due diligence on hedge funds. This expert has a Ph.D. and M.A. in Economics and a B.A. This expert has undergone deposition and court testimony dating from academic experience and has submitted testimony at arbitration.


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Expert Witness #262355

Having served as Chief Compliance Officer of a full-service broker-dealer for many years with responsibilities for investment banking and merger and acquisitions compliance and oversight, this expert has the expertise with respect to best practices/duties and responsibilities/obligations of a registered broker dealer.

This expert heads a highly successful and sought-after compliance and regulatory consultancy specializing in matters relating to the broker-dealer and investment adviser community.

This expert has held the following Securities Licenses:

-  Series 24 - General Securities Principal
-  Series 14 - Compliance Official Examination
-  Series 8 - General Securities Sales Supervisor Examination
-  Series 7 - General Securities Representative Examination
-  Series 63 - Uniform Securities Agent State Law Examination Series
-  65 - Uniform Investment Advisor Agent Law Examination
-  Manager - Financial Services Authority

This expert has served as:

-  a speaker and lecturer for numerous conferences and events for the SEC, NYSE, NASD, NASAA, SIA, SIFMA, and other events sponsored by industry and regulatory organizations on multiple topics dealing with Compliance
-  a member of the Securities Industry & Financial Markets Association (SIFMA) Compliance & Legal Division Executive Committee
-  a member of a Board Options Exchange Compliance Advisory Panel
-  a member of a Business Conduct Committee
-  a member of the New York Stock Exchange (NYSE) Compliance Advisory Committee

This expert has been engaged as an expert witness on more than 120 matters encompassing a full range of issues relating to the customs and practices, duties, responsibilities, and obligations of a registered broker dealer. This expert has testified at hearings or in deposition in more than 40 cases in federal courts, state courts, FINRA Office of Hearing Officer proceedings, American Arbitration Association Commercial Arbitration proceedings, and FINRA Arbitration proceedings.


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Expert Witness #248481

This expert is a registered Investment Advisor and worked in brokerage agencies before becoming an independent advisor, and ultimately a consultant. This expert has qualified as an expert in Federal and State Courts as well as in FINRA and NASD arbitration panels in matters of standard of care, due diligence, capitalization, compliance and other market and industry compliance matters.


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