23 Federal Regulatory Compliance Expert Witnesses Found

Securities & Investments - FINRA Programs, FINRA Risk Hierarchy, FINRA Sales Practice Issues, FINRA and SEC Rules, Reg BI, Assessment of Internal Controls, Broker-Dealer Compliance and Supervision, Broker-Dealer Regulatory Issues, and Risk Monitoring and Mitigation.

...Colleen worked at the Financial Industry Regulatory Authority (FINRA) for 22 years supervising both Examination and Risk Monitoring teams. Most recently, at FINRA, Colleen served as Risk Monitoring Director and Los Angeles Office Senior Leader. Prior to joining FINRA, Colleen held the position of Mutual Fund Administration Supervisor at Chase Global Fund Service Company in Boston, Massachusetts. During her tenure at FINRA, Colleen developed and enhanced company programs and processes and successfully worked with technology partners to create solutions to advance Risk Monitoring business needs. Additionally, Colleen served as the Los Angeles Regulatory Point of Contact and established relationships with federal and state regulators through stakeholder forums. This included regular interaction with national and regional SEC offices, State securities regulators, NAASA, Federal Reserve Bank, and international securities regulators....

Real Estate, Financial - hard money lending, private money lending, mortgage broker, mortgage lender, usury, consumer credit, agency, foreclosure, mortgage securities, mortgage pool, Department of Real Estate, Department of Financial Protection, mortgage licensing, consumer mortgage, construction loans, mortgage loans

Areas of Practice Legal Practice: Mortgage Lending, including business and consumer loan origination, licensing, compliance with California and federal lending laws, mortgage backed securities, and administrative defense Mortgage Broker Practice: Active mortgage broker since 2016, brokering tens of millions of dollars of mortgage loans per year, including conducting the application process, underwriting, loan disclosure, legal compliance, documentation, investment compliance and regulatory reporting. California Bar 1978 #81839 Department of Real Estate Broker 2016, Broker #02003304, NMLS #1600274 Professional Affiliations State Bar of California California Mortgage Association AV rated by Martindale.com Biography For the past 40+ years Dennis Doss has represented mortgaged lenders of all kinds as well as mortgage brokers who sell, fractionalize and market trust-deed secured investments to the public. Mr....

Nursing Home Administration, Geriatrics - Assisted Living, Geriatrics, Memory Care, Nursing Home, Skilled Nursing Facility, RCFE, ARF, Assisted Living, MFT, NHA, LNHA, LMFT, Custodial Care, Title 22, Long Term Care, Dementia, Alzheimer's, Falls, Residential Care Facility

Nursing Home and Assisted Living Administration Expert on the use of regulatory and accreditation standards, healthcare operations, and creation of systems to improve outcomes. Knowledgeable about regulatory compliance and standard of care. Experience with start-ups, existing communities, and new acquisitions. Specialized in Geriatric Community Management, including Memory Care. · 15+ years experience with Geriatric Population in an Administrative Role · Well versed with Title 22 and Federal Regulations for NHA and RCFE · Experienced Expert Witness in various States · Extensive experience with Geriatric population and Memory Care · Licensed Marital and Family Therapist · Behavioral Health experience in locked units and outpatient care · Physician Relationships and Community Relations

Aviation & Aerospace, Human Factors - Decision Making, Airline Operations, General Aviation, Training, FAR’s, Incident Investigation, Operations, Compliance, Pilot Error, Crew Performance, Pilot Fatigue, Crew Resource Management (CRM), Situational Awareness, Turbulence Injuries, Passenger Disruptions, Navigation and Communications

Highly experienced recently retired airline pilot and aviation safety representative with more than 50 years of flight experience and approximately 30,000 domestic and international flight hours in both major airline and general aviation aircraft Former air traffic controller, international air safety representative involved in aviation rulemaking, flight instructor, general aviation aircraft owner and operator FAA licensed pilot since 1972 Experienced major-airline captain for 28 years, 19 years as captain in widebody aircraft Areas of expertise include Federal Air Regulations (FAR) Part 121 airline and air traffic control operational safety issues, flight operations, standard operating procedures, regulatory and flight operations manual compliance, crew performance and coordination, cockpit-related human factors issues, crew resource management, turbulence injuries, procedural compliance, aircraft limitations, navigation and communications procedures, and best practices Extensive experience...

Banking, Risk Management - Policy, Commercial Credit Risk Management and Underwriting Standards, Covenants, Third Party Vendor Risk, Participations, Regulatory Compliance, Elder Financial Exploitation, Enforcement Actions, Audit, Cannabis Banking, Internal Controls, BSA AML, UDAAP, Regulation B, Standard Banking Practices

Dante Tosetti is a recognized expert in regulatory compliance and risk management for financial institutions. He has over twenty five years of experience within the Federal Reserve and commercial banking. As an executive for a national bank, Dante was successful in resolving numerous articles of a public enforcement action taken by The Office of the Comptroller of the Currency (“OCC”). As a Regulatory Liaison for a state member bank, Dante was formally recognized by as being ‘instrumental’ to a bank’s successful release from a public enforcement action taken by the Federal Reserve Bank of San Francisco. He was formerly a Bank Examiner with the Federal Reserve Bank of San Francisco where he led and supported safety and soundness examinations of community, regional, and large banks throughout the nine western states. At the Fed, he was a presenter for a national broadcast titled, "Commercial & Industrial Lending: Pitfalls and Risk Mitigants."...

Insurance, Business Operations - Life insurance, annuities, agent licensing, appointment, commissions, terminations, contracting, regulatory requirements, operations, customer service, call centers, home office administrative processes, technology, compliance, file review

...Expert consultant backgrounds and experience include: • management of life insurance company interactions with agents/brokers/producers • management of various life insurance and annuity home office administrative functions • detailed knowledge of systems supporting insurance company operations and policy servicing • state & federal regulatory compliance • oversight of complex data production for large-scale audits Areas of expertise include: • life insurance agent/broker/producer licensing, appointment, commissions, terminations, regulatory requirements • life insurance and annuity policy suitability and appropriateness • policy underwriting and issuance • new business processing • customer service and call center operations • customer correspondence • administrative processes • administrative systems • administrative data and reports • policy cancellation or termination • death claim processing • customer complaint resolution • recordkeeping/record retention • compliance with state and...

Business Damages, Intellectual Property - Accounting, Valuation, Economics, Financial, Dispute Resolution, Damages, Breach, Patent, Trademark, Trade Secret, lost profits, reasonable royalties, unjust enrichment, Section 337 matters, ITC, International Trade Commission

...In federal and state courts, and in arbitrations, Ms. Sundararaman has quantified damages in disputes dealing with patent infringement, trademark infringement, unfair competition, breach of contract, and fraudulent inducement. At the ITC, Ms. Sundararaman has analyzed economic and financial issues related to public interest, economic prong of domestic industry, commercial success, remedy, cease and desist and calculation of appropriate bond rates. Over the years, Ms. Sundararaman has led engagements dealing with business valuations, royalty investigations, bankruptcy investigations, regulatory compliance and statutory audits. Ms. Sundararaman is Certified Public Accountant (CPA), Certified Valuation Analyst (CVA), and holds a Masters in Business Administration (MBA). Prior to joining BRG in 2010, Ms. Sundararaman was employed at other large and boutique economic consulting firms for over seven years. Since 2017, Ms....

Nursing Administration, Medical Management - Nursing Standard of Care, Nursing & Hospital Administration, Emergency Room, Critical Care Nursing, Root Cause Analysis, Risk Management, Fall and Pressure Ulcer Prevention, Wound Care, Medication Safety, Nursing Home, Home Healthcare, Hospital Policy, and State & Federal Regulatory Compliance

...Responsible for Patient Care Services and Risk / Regulatory Services. Currently, Dr. Frumenti serves hospitals in an interim management and consulting capacity, and as an Expert Witness for medical malpractice, personal injury, civil, workplace safety and product liability cases serving plaintiff and defense attorneys. Areas of Expertise: *Nursing Standards of Care *Hospital Administration Standards *State, Federal, Joint Commission Regulatory Compliance *Root Cause Analysis *Nursing Home & Home Health Care Standards of Care *Wound Management, Prevention & Care *Quality and Risk Management *Fall Prevention/ Management *Nursing Contracts

Banking - Bank Analysis, Banking Law & Regulation, Banking Industry Standards, Board & Management Responsibilities, Bank Policy & Procedures, Regulation & Supervision, BSA/AML, Fraud, Ponzi Scheme, Elder Financial Abuse

...Abernathy works closely with Retaining Counsel and brings his broad base of Regulatory & Banking Expertise to the case. He has a successful track record as Expert Witness utilizing strong Expert Analysis, Witten Reports, and effective oral Depositions. Bill has worked with both Plaintiffs & Defendants in Federal & State Courts with NO Daubert Issues. Bill has a long (50 years) and varied career as a National Bank Examiner, federal bank regulator, senior-level banker (EVP & SVP), and bank consultant. He served in six different District Senior Management positions with the Office of Comptroller of the Currency (OCC). His OCC Roles included serving as Assistant Deputy Comptroller (#2 Executive for the 9 Southeastern states); and within that district he led supervision of the 15 largest National Banks & problem banks; served as Director for Compliance & Bank Analysis; and led supervision of 100 community banks in GA, NC & SC....

Aviation & Aerospace - Commercial Aircraft Maintenance, Modification, Storage, and Repair (Major and Minor), Structural repairs, Lease acceptance & return language, FAA, FARS, Regulatory compliance, AC records, Documentation, STC's, Tool use and safety, MRO Performance and Procedures, Maintenance Tracking, Logbooks

...Federal Aviation Regulations (FAA FARs) 8. Commercial Aircraft Maintenance 9. Commercial Aircraft Storage 10. MRO Performance and Procedures 11. Regulatory Compliance, Aircraft Records 12. Maintenance Documentation 13. Logbooks & Maintenance Sign-offs 14. STCs and Major repairs 15. Structural Repairs.

Securities & Investments, Cryptocurrency - CFTC, Commodity Futures Trading Commission, SEC, Securities and Exchange Commission, Bitcoin, Virtual Currency, Anti-Money Laundering, AML, National Futures Association, Chicago Mercantile Exchange, CME

Braden Perry is a litigation, regulatory and government investigations attorney with Kennyhertz Perry, LLC. Mr. Perry has the unique tripartite experience of a white-collar criminal defense and government compliance, investigations, and litigation attorney at a national law firm; a senior trial attorney with the Commodity Futures Trading Commission; and the Chief Compliance Officer/Chief Regulatory Attorney of a global financial institution. Mr. Perry has extensive experience advising clients in federal inquiries and investigations, particularly in enforcement matters involving technological issues. He couples his technical knowledge and experience defending clients in front of federal agencies with a broad-based understanding of compliance from an institutional and regulatory perspective.

Insurance, Risk Management - bad faith, claims, claim handling, reserves, bad-faith, unfair claims settlement practices; third party administrator, reinsurance, notice, asbestos, extra contractual; receivership, claims management, liquidation, environmental, property and casualty, reserve adequacy, market conduct examination

...As a seasoned senior level Insurance, Reinsurance, Regulatory and Run-Off Practitioner with 4 decades of industry, consulting, and receivership experience, Mr. Bingham possesses a demonstrated ability to analyze complex insurance-related matters in fast paced and evolving environments. Mr. Bingham’s credentials as subject matter expert have been accepted in both state and federal courts across the country. Mr. Bingham has demonstrated an understanding and command of claims handling practices, reinsurance policies, and regulatory and run-off issues of the highest complexity. His wealth of experience in the handling of claims, claims management, regulatory compliance, drafting expert reports, and testifying in complex litigation have made him an asset to businesses and attorneys throughout the United States. As a past recipient of the Certified Insurance Receiver – Multiple Lines designation, Mr....

Pharmaceutical Regulation, Infectious Diseases - Food and Drug Administration (FDA), drug/biologics safety/labeling/post-marketing surveillance, FDA drug/biologics regulations/procedures/applications (INDs/NDAs/BLAs), clinical trials, drug development, pharmacy compounding, HIV, MRSA, antibiotics, hepatitis, osteomyelitis, influenza, C. difficile

...He has extremely broad experience with FDA regulatory submissions (INDs, NDAs, BLAs, post-marketing safety, labeling supplements) for both small molecules and biologics. He has extensive familiarity with FDA regulations, processes, and procedures, including drug/biologic labeling and compliance requirements. Dr. Ross was the recipient of CDER’s Excellence in Communication and Excellence in Leadership Awards. Dr. Ross has published extensively in book chapters and medical articles. He is a frequently invited presenter at medical conferences, industry meetings, medical societies, and hospital grand rounds. Dr. Ross is an experienced expert witness at the federal and state levels. Dr. Ross has been called upon to express opinions in the areas of medical malpractice, personal injury, negligence, standard of care, and product liability....

Safety, Agriculture Engineering - Accidents, Auto ADAS, Agriculture, Battery Fires, Cannabis Processing, Chemical Exposure, Child Safety, Construction, Electrocution, Ergonomics, Fitness Equip, Fires/Explosions, HazCom, Human Factors, HVAC, Mechatronics/Nano, Medical Devices, OSHA, Recalls, RV/ATV, Slip/Fall, Vapes, Warnings/Label

...He has directly served in Washington originating several Federal OSHA safety regulations, and interacts regularly with Consumer Products Safety Commission regarding safety and product recalls. He serves as a reviewer of ASTM consumer products safety standards, provides upper management guidance on product design, recall and liability issues, and serves as an expert witness when required by consultative involvements. In addition, Dr. Miller works often on projects relating to compliance with occupational safety and consumer safety standards (OSHA, MSDS, CPSC, ANSI, ASTM, UL, ASABE, etc.) along with accidents associated with agriculture, consumer products, machine guarding, fire/explosions, and slip and fall circumstances. Recently, Dr. Miller has been handling cases involving battery fires, particularly with respect to e-cigarettes and vaporizers. Dr. Miller holds a bachelor's in Mechanical Engineering and a Ph.D. in Engineering from Ohio State University....

Safety, OSHA - Multiple industry safety experience, OSHA, safety & health, serious injury and fatal injury prevention, occupational fatalities, falls, machine guarding, ladder, multi-employer worksite, construction, training, silica, industrial hygiene, respiratory protection, safety management systems, auditing

...This includes roles as an Air Force Bioenvironmental Engineering officer (final rank of Captain, with industrial hygiene and environmental responsibilities), regional Occupational Health and Safety (OHS) management for a hazardous waste cleanup company, OHS management for a Prime Contractor to the Department of Energy (Oak Ridge, TN), construction safety and construction fatality research for the University of Tennessee under contract to the Department of Labor/Occupational Safety and Health Administration (OSHA), OHS management for a consumable dental supplies and metals related manufacturing/machining company, OHS management for an international gas engine manufacturer within a global automotive manufacturer, regional environmental, health and safety (EHS) management and global safety team member for a Tier 1 auto parts manufacturer, regulatory compliance-focused EHS management for a national disaster restoration contractor under strict EPA requirements, OHS management for an above-ground...

Veterinarian, Agriculture - Horses, Cattle, Livestock, Research, Dog, & Cat,

I am an accomplished veterinarian, with diverse experience that includes private practice, work with professional organizations on regulatory compliance, and collaborations with the federal government in regulatory and policy aspects involving laboratory research and veterinary issues. Testified in administrative and court proceedings, including serving as a supporting witness for the American Veterinary Medical Association Professional Liability Trust with a favorable outcome. Employed as a veterinary medical officer with the United States Department of Agriculture and contributed to the enforcement of federal laws in cases under the jurisdiction of the USDA. Specialties: Veterinary Standards of Care, Investigative Interviewing, Equine Regulatory Investigations, Expert Witness Testimony, Civil and Criminal Matters, Nationwide Program Management, Field Audits, Work with Equine Associations, Expert on the Horse Protection Act

Gaming & Gambling, Security - Premises Liability, Casino Surveillance, Casino Security, Inadequate Security, Hotel Security, Corporate Investigations, Investigations-Criminal Matters, Investigations-Civil Matters, Compliance Investigations, Due Diligence Investigations, International Investigations, Gaming Regulatory Compliance

...Investigations included, but were not limited to, compliance investigations of individuals, corporations and companies, violations of local, state and federal laws, violations of gaming regulatory compliance, and civil matters. He has conducted operational audits of gaming security and casino surveillance operations and assisted clients with installation of CCTV surveillance and security systems.

Insurance, Products Liability - Asbestos, Pollution, Premises Liability, Occurrence Limits, Agent's Liability, Sexual Abuse, Stacking of Limits, Property, Businessowners, Professional Liability, Claims Handling, Compliance.

...Have testified in state courts, federal courts, hearings, and at an arbitration. Have been deposed multiple times - both in person and via electronic means. Have been retained by counsel for cases throughout the United States. Started my career at the Insurance Services Office, Inc. ("ISO"), the world's largest insurance service organization. ISO has over 1,200 participating companies. Worked in Personal Lines, Commercial Property and Commercial Casualty (CGL and Commercial Auto). Drafted many policy forms and endorsements at ISO including the Personal Auto Policy, the Commercial Property Coverage Form and Businessowners Policy, the occurrence and claims-made versions of the Commercial General Liability Coverage Form, and the pollution, asbestos, and punitive damages exclusions. At The Home was responsible for all regulatory compliance as well as the relationship with insurance regulators and legislators....

Nurse, Legal Nurse Consulting - Nursing Standard of Care, Nursing Administration, Ambulatory Surgery, Surgical and Perioperative Nursing, Traumatic Brain Injury, Hospital Risk Management, Fall and Pressure Ulcer Prevention, Wound Care, Medication Safety, Nursing Home, Home Healthcare, Hospital Policy, Regulatory Compliance

...Areas of Expertise: Nursing Standards of Care  Hospital Nursing Care  Nursing Home Care  Home Health Care  Wound Care  Extravasation of Intravenous Line  Brachial Plexus Injury  Traumatic Brain Injury  Assault patient and staff •Surgical and Perioperative Nursing •Quality and Risk Management •Fall and Pressure Ulcer Prevention •Hospital Policy and Procedure •Medication Safety •Nursing Informatics •Hospital Administration •State, Federal, Joint Commission Regulatory Compliance

Environmental, Environmental Engineering - Ecology, 404 permit, NPDES, Natural Resource Damage Assessment (NRDA), 401 permit, endangered species act, bats, mussels, ecological restoration, ecological risk assessment, wetland delineation, wetland mitigation, stream mitigation, MS4, Invasive species, fish, Clean Water Act, biological toxicity

...Since 1989, we have provided expert technical services to help our clients meet their environmental design and regulatory requirements. Our clients include federal, state, and municipal governments; departments of transportation; the railroad industry; utilities, mining, manufacturing, and engineering firms; and private individuals. Our ecological consulting services are nationally recognized and include restoration and environmental compliance assistance on projects of all sizes for freshwater mussels, bats, fisheries, aquatic surveys, and streams and wetlands. We also have a large bioassay and taxonomy identification laboratory to support ecological and biomonitoring projects, including whole effluent toxicity and harmful algal bloom testing. Few environmental firms in the country retain our degree of scientific knowledge, talent, and capability under one roof, and most of our staff have over 10 years of experience in their respective fields....

Aviation & Aerospace, Safety - Air Carrier Access Act, Flight Attendant Emergency Procedures, Training and Program Development, Investigation of Inflight Cabin Emergencies; medical incidents, turbulence, evacuations, fire, etc., Passenger/Cabin Crew Illness/Injury, Threat Error Management, Safety Management Systems, Human Factors

Expert witness, consultant, program developer, trainer and internationally recognized speaker on commercial airline flight attendant and gate personnel training, performance, safety and FAA regulatory compliance. More than 40 years of experience in the commercial aviation industry; holding such positions as: Manager of Health, Safety and Security for Inflight Division, Senior Inflight Safety Investigator, Emergency Procedures Instructor for pilots and flight attendants, Station Manager, flight attendant and customer service supervisor. Other aviation roles included Chairperson of an FAA supported Aviation Safety Action Program for flight attendants, member of the Air Transport Association (A4A)Cabin Operations Committee and co-developer of Passenger Incident Review Committee process for a major global airline....

Long Term Care, Nurse - Medical Records Review, Standards of Care, Nursing Home, Assisted Living, Elder Abuse and Neglect, Patient Transfers, Pressure Injuries, Patient Falls, Short-Term Rehabilitation, Personal Care, Merit Screening/Review, Patient Specific Medical Conditions/Diagnoses, Merit Consultation, Adverse Events

...Her involvement in these settings has contributed to her strong knowledge base regarding standards of care, facility operations, and Federal, State, and Local Regulations. Ms. Donnelly has acquired extensive experience in developing policies and procedures, investigating incidents and unusual occurrences, auditing patient care, monitoring adherence to policies and procedures, providing education/training to staff, and ensuring regulatory compliance. Ms. Donnelly actively practices as a nurse within long-term care, short-term rehabilitation, and school settings. She continues to assist long-term care and short-term rehabilitation facilities with auditing and ensuing compliance with Federal, State, and Local Regulations, along with standards of care. Ms. Donnelly also applies her experience with hands-on care and nursing management through the continuing education and training programs she provides to various members of the health care teams. Ms....

Transportation, Security - hazardous materials, dangerous goods, chemicals, railroad, truck cargo tank, security, grade crossing, derailment, mechanical , signal, operations, track, locomotive, tank car, packaging, accident reconstruction and investigation, Federal Railroad Administration

...Department of Transportation / Federal Railroad Administration (FRA) as a Hazardous Materials (HM) Inspector. In 1991 I was again promoted as a HM Specialist to the FRA Headquarters in Washington, D.C. where I remained until my retirement at the conclusion of my government career in 2010. Since that time I have worked doing various consulting duties for railroads, railroad repair companies, other consulting companies, the government, and as an expert witness for civil litigation. As a HM Specialist I was the designated government liaison with the Association of American Railroads/Bureau of Explosives (AAR/BOE) Steering Committee (Committee) which met three times a year and addressed all and various topics associated with the transportation of hazardous materials by rail. One of their topics discussed, developed, and written during my ten year tenure on the Committee was the AAR/BOE Hazardous Materials Instructions by Rail....