Mutual Funds Expert Witnesses

Related Disciplines

Mutual Funds 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.

Start Custom Search

The below expert witness bios represent a small fraction of those Mutual Funds experts known by Cahn Litigation Services. These bios are provided to give attorneys a sense of the Mutual Funds 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.


Start Mutual Funds Expert Search