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.
The below expert witness bios represent a small fraction of those SEC Standards experts known by Cahn Litigation Services. These bios are provided to give attorneys a sense of the SEC Standards landscape.
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:
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.
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:
This expert has served as:
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.
This expert is a former Assistant Regional Director of the Enforcement Division of the US Securities and Exchange Commission and investigated and litigated sales practice fraud, insider trading, accounting fraud, the sale of unregistered securities and other violations of the federal securities laws. This expert is an attorney and principal consultant and expert witness for a firm handling SEC, FINRA, Commodity Futures Commission and National Futures exchange matters. This expert represents public and private corporate clients and has served as an expert witness in Federal and State court in matters of securities regulation, securities arbitrations and bankruptcies. This expert is well-published and frequently contributes to the media on these topics.