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 Stock Broker experts known by Cahn Litigation Services. These bios are provided to give attorneys a sense of the Stock Broker landscape.
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.
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.