SEC Standards Expert Witnesses

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SEC Standards Expert Witness - Representative 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 SEC Standards experts known by Cahn Litigation Services. These bios are provided to give lawyers a sense of the SEC Standards landscape.

• 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 #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 #257722

  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.

  
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