Securities Expert Witnesses

What is a securities expert witness?

Securities expert witness candidates have areas of expertise in securities law, securities regulation, economic damage calculations, financial planning, forensic accounting, financial markets, and/or are certified fraud examiners (CFE) or registered investment advisors. Securities litigation expert witnesses are attorneys with experience in securities and regulatory investigations. An experienced securities fraud expert witness may be needed if financial crimes are suspected. While many experts have expertise in securities matters, an expert witness carries the additional responsibility of providing testimony in a manner whereby lay people can understand the litigation matters and evidence.

What types of cases require a securities expert witness?

A U.S. investor is protected by the Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit organization that oversees broker-dealers. FINRA utilizes artificial intelligence and machine learning technologies to watch market activity and provide support to investors, regulators, and policy makers.

Securities are tradable financial assets, and can be categorized into three main types:

• Debt securities (for example – banknotes, bonds and debentures)
• Equity securities (for example – common stocks)
• Derivatives (for example – forwards, futures, options, and swaps)

Securities expert witness case examples

Representative matters that call for an expert in financial and securities litigation have involved:

• insider trading,
• securities arbitration,
• securities fraud,
• mutual funds,
• breach of fiduciary duty,
• life insurance-linked securities,
• private equity misrepresentation,
• FINRA dispute resolution,
• unauthorized trading,
• employment disputes,
• annuities,
• real estate underwriting,
• investment banking,
• financial services intellectual property valuation,
• investment fiduciary duty, and
• securities class action.

What litigation support work might a securities expert witness be expected to perform?

Litigation support services by a securities expert witness could represent either the plaintiff or defendant, and work could include case reviews, FINRA arbitrations, research and authoring expert reports, providing expert opinions, expert testimony, and/or courtroom testimony. In a high-profile case, or litigation involving a significant financial stake, a law firm may request an expert with prior expert witness testimony experience. In addition, clients may seek a securities industry expert or financial advisor for pre-litigation consulting services.

Cahn Litigation Services is the expert witness placement service provider of choice by law firm clients to locate experts that can support securities and other financial services industry matters. Cahn Litigation Services has the experience required to turn a search for a securities expert witness around quickly, providing the right balance of expertise and testimony experience.

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Securities 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 Securities experts known by Cahn Litigation Services. These bios are provided to give lawyers a sense of the Securities landscape.

• Expert Witness #232336

  This expert has many years in Compliance and Supervisory Management and has spent many years in the Securities industry. This expert is a professional trainer and contributor at industry conferences and regulatory authorities. This expert has been a FINRA and NYSE Arbitration Chair and panel member for many years and earned various Securities Brokerage licenses over this expert's professional life. This expert is a seasoned expert witness having participated in over 300 securities litigations and testifying in approximately 150 arbitrations.

  
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• Expert Witness #248514

  This expert is a Professor of Law at an Ivy League School. This expert holds a BA and JD, as well as a PhD in Economics. Prior to entering teaching, this expert practiced law with an international law firm, an experience which continues to inform this expert's teaching and scholarly work. This expert's academic interests are in the areas of corporate and securities law, law and economics, and international securities regulation and comparative corporate law. This expert's articles have appeared in many legal publications, and this expert is also the author two books. This expert has taught at several universities, is a member of the Council on Foreign Relations, and the American Law Schools Association. This expert teaches International Securities Regulation, Securities Regulation, Corporate Finance, and Capital Markets Regulation.

  
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• Expert Witness #248557

  This expert holds an MBA from an Ivy League School and has many years of experience in the securities industry. Currently a founder of an expert witness consulting firm, this expert's expertise extends to security analysis, international transactions, options, futures, and equity and debt instruments. This expert is the former director of a Fortune 500 Company's Options and Stocks and Bonds Departments and co-headed the Options Department at an investment bank. This expert is heavily involved in international arbitrations on securities matters and has provided testimony and inside consulting on numerous Federal District Court matters. This expert is well published, with 30 publications, and has written articles on Punitive Damages and Compensatory Damage Litigation.

  
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• Expert Witness #248563

  This expert has testified in nearly thirty Securities arbitration, litigation, and mediation matters, and has been a consultant in nearly 200 others. This expert has many years of Securities Industry experience that includes experience as a broker, Branch Manager and a senior level executive at corporate headquarters. This expert has served as an NYSE Arbitrator.

  
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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 #262128

  This expert specializes in derivatives, structured finance/securitization, finance and securities matters. This expert's experience includes asset-backed securities (ABS) of various types, collateralized loan obligations (CLOs), mortgage-backed securities (MBS), collateralized debt obligations (CDOs), credit default swaps (CDS), interest rate swaps, credit-linked notes (CLNs), repurchase ("repo") agreements and securities fraud.

  As a transactional attorney this expert has been an Associate, Special Counsel or Partner at several of the leading transactional law firms in the United States. As an expert witness and/or consultant, this expert has worked with many of the leading litigation firms, and leading litigation departments of full-service firms, in the country.

  This expert has drafted, reviewed and negotiated 100s of interest rate swap agreements. At one time this expert was the main swaps attorney for a firm, which at the time was the leading swaps dealer in the world. As legal representative to the International Swaps and Derivatives Association (ISDA) this expert was heavily involved in the drafting and negotiation of the Master Agreement forms that are still used throughout the swaps industry. This expert has served as an expert witness and consultant in a number of cases involving interest rate swaps.

  This expert is often called upon to participate in or moderate various seminars.

  This expert served as Chairman of the Structured Finance Committee of a State Bar Association. This expert is listed on American Arbitration Association's roster of arbitrators.

  
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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 #262367

  This expert is a nationally renowned insurance and securities expert. This expert has been the Chief Compliance Officer of an independently owned national broker/dealer and has held senior management positions in the securities industry for many years.

  This expert has taught, consulted, and provided expert testimony on the suitability of insurance products and securities, sales practices, duties of brokers and firms, and adequacy of supervisory systems and due diligence. This expert has been retained in over 500 matters involving securities and has testified extensively as an expert in State and Federal courts and FINRA arbitrations including matters dealing with Broker/Dealer and RIA Compliance, Duties of Brokers, Advisors, and Institutions, Due Diligence, and other topics. This expert frequently lectures on the subject of industry standards and norms, and regulation in both the insurance and securities industries.

  This expert provides consulting and expert services to claimants, respondents, financial institutions, state and federal regulators. This expert has been quoted in various industry publications.

  
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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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