Financial Expert Witness Listings

California, Irvine

Broker/dealer standards & compliance, investment advisor duties, securities suitability, stock trading, options/futures, investment banking, trustee duties

Additional Information: Banking, financial services & finance consulting group (est. 1973). Experts include investment, trust & fiduciary specialists, investment bankers, brokers, brokerage managers, compliance officers, accountants, economists, statisticians. Stocks / Bonds / Commodities / Hedge funds / Mortgage securities; Trading & portfolio management; Supervision, Operations & settlement; Syndications; Capital markets; NASD / FINRA arbitration; Damages, Economic / Statistical analysis, Valuations, Forensic accounting.

California, Granada Hills

Mortgage Lending, Subprime Loans, Private Money Lending, Finance, Hard Money Lending, Mortgage Banking, Real Estate Loans, Mortgage Broker, FHA Loans, Trust Deeds, Foreclosure, Reverse Mortgages

Additional Information: President of Southwestern Mtg. Experienced in loan brokerage, institutional and hard money lending, standards of care and practice for mortgage brokers. Thirty five years in mortgage lending. Past President of California Mortgage Association (CMA), Co-Chair of CMA Education Committee.

California, San Rafael

Trust, Corporate Trust, Debt, Trustee, Securitization, ERISA Fiduciary, Independent Trustee, Independent Fiduciary, ESOP Trustee, Corporate Bonds, Municipal Bonds, Debt Finance, Trust Administration, Indenture Trustee, Debt Administrator, Project Finance

Kansas , Topeka

Financial Planning, ERISA-Pension Consulting, Fiduciary Responsibility

Additional Information: Eighteen Year Professional. Credentials in law, real estate, securities and investment matters. Lecturer on regulatory compliance, industry best practices, professional responsibility at universities and professional forums.

Massachusetts, Amherst

Practice areas include: economic damages (business & personal), unjust enrichment, personal injury, wrongful termination, divorce, environmental enforcement, municipal & nonprofit / not-for-profit finance, ability-to-pay / affordability assessment, corporate control / piercing corporate veil.

Additional Information: Jonathan S. Shefftz is an independent consultant who specializes in the application of financial economics to litigation disputes, regulatory enforcement, and public policy decisions. Previously he was a consultant with Industrial Economics, Incorporated (“IEc”) from 1992 until 2006 when he moved to western Massachusetts. Mr. Shefftz has extensive experience in settlement and litigation support, and has been qualified as an expert witness in U.S. District Court, a federal agency’s Administrative Court, and a state court.

Missouri, St. Louis

Internal Revenue Service, Tax Criminal Defense, Tax, IRS Collections, IRS Appeals, Tax Fraud Evasion, IRS Investigations, IRS Seizures, IRS Levy, IRS Representation, IRS Liens, IRS Transcripts

Additional Information: Former IRS Revenue Officer

New Jersey, Summit

Mortgage, Warehouse Lending, Mortgage Security, Banking, Predatory Lending, Mortgage Appraisal, Mortgage Fraud, E & O Insurance, FHA, Mortgage Servicing, Sub-Prime Mortgage, Loan Repurchase

Additional Information: Specialist in mortgage banking, warehouse lending, mortgage related insurance claims and mortgage related investor claims

New York, New York

Remuneration, Quantum analysis, Career, Compensation, Pensions, Retirement, Personal Injury, Medical Malpractice, Discrimination, Lost Earnings, Labor Market, Benchmarking

Additional Information: Compensation/remuneration specialist with over thirty years Human Resources experience in the Financial Services Industry. Currently engaged in HR consultancy projects across a wide range of industries and occupations, utilizing an extended network. Extensive experience in preparing career remuneration reports for complex and high value personal injury, medical malpractice and employment claims. Act on behalf of firms representing plaintiff and defendant, oral testimony given.

New York, New York

Broker/customer disputes, stocks, bonds, options, commodity futures, currency trading, derivatives, swaps - nationwide.

Additional Information: 20+ years as consultants in investment and trading litigation. Asset management, pension investments, securities and futures tax matters including IRS examinations, appeals, U.S. Tax Court appearances. Consultants to NYSE, Options Clearing Corporation, CBOT, CME, COMEX, TIAA/CREF, banks, other major clients. Arbitrator NASD, NYSE, AAA, NFA. Mediator with NASD training.

Texas, Austin

business valuation, fair market value, fair value, damages, lost profits, dissenters' rights, intangible assets, trademarks, patents, mergers & acquisitions, buy sell agreement, options, warrants, preferred stock, venture capital, investment banking

Additional Information: Edward C. Fowler, CFA, ASA has 18 years of full time experience performing business valuations and financial consulting. He holds a Finance Degree from the University of Texas and a MBA from Texas A&M University. He is designated as an Accredited Senior Appraiser (ASA) in Business Valuation by the American Society of Appraisers and as a Chartered Financial Analyst (CFA) by the CFA Institute. Mr. Fowler has provided testimony in both State and Federal Court. Mr. Fowler served as Court Master for the 192nd District Court of Dallas County, Texas regarding the value of a closely held business.

Texas, Austin

Management

Additional Information: Thirty years of experience managing seven securities brokerage offices. Served as an arbitrator and Board Member of a supervisors content committee. Associate Professor teaching finance in an MBA program. Testified and advised in a wide variety of arbitration and court cases.