Finra Expert Witness Listings

Welcome to our Finra experts directory. Browse the profiles below to find the right expert witness in Finra for your case. Our SEAK Expert Witness Database is always free to search.

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Kevin M Keefe, CFA Keefe Capital Partners LLC

San Diego, California
Financial Expert Witness, Securities & Investments Expert Witness - Due Diligence, Investment Products, Investment Research, Investment Manager, Mutual Funds, Suitability, Complex Products, Broker Dealer, SEC, Investment Advisor, FINRA, Employment Issues, Portfolio Management, Registered Representative, Investment Advisor Representative
Former CEO of First Allied Securities. Responsible for the development and implementation of the firm’s strategic direction as well as overseeing the day-to-day operation of an enterprise with $40B in assets under management, $300M in annual revenue, and supporting more than 700 financial advisors (FAs). Accomplished financial services executive. Extensive experience working with financial products and registered representatives/financial advisors. Has directly overseen the people and processes responsible for product due diligence within some of the largest independent broker dealers in the US. Prior to joining First Allied, served as Executive Vice President and head of Wealth Management for AIG Advisor Group, where served as CEO of the corporate RIA (Registered Investment and Advisor) and managed all investment research and due diligence, product, platform, and retirement plan functions within the broker/dealer network of 6,000 independent financial advisors. During five-yea...
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Thomas G. Taliaferro, CIMA®, AIF®

San Diego, California
Financial Expert Witness, Securities & Investments Expert Witness - Breach of fiduciary duty, Uniform Prudent Investors Act, churning, suitability, broker/dealer standards and compliance, investment advisor, portfolio management, asset allocation, unauthorized trading, elder abuse, FINRA, financial advisor, financial planning, branch management, securities fraud
Financial advisor/portfolio manager with over 30 years’ professional experience including serving as a Senior Vice President for both Morgan Stanley and Wells Fargo Advisors. Extensive experience with high net-worth and ultra-high-net worth clients. Supervisory experience includes managing 55 financial advisors with accounts totaling in excess of $4 billion and addressing numerous employment issues at broker/dealers. Spotless compliance record. Have testified as an expert witness in AAA, FINRA and Superior court venues and deposition. Member of Securities Experts Roundtable and public speaker. Professional Designations: Wharton School Executive Education)-- Certified Investment Management Analyst Senior Financial Advisor Senior Branch Manager FINRA--Dispute Resolution Arbitrator Center for Fiduciary Studies--Accredited Investment Fiduciary IMCA--Certification--Fiduciary Best Practices Licenses Held: Series 7—General Securities License--1985 Series 3—National Commodities ...
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Alan J Besnoff, CFP, ChFC, CLU Securities Expert Witness & Litigation Support, LLC

Fremont, New Hampshire
Insurance Expert Witness, Securities & Investments Expert Witness - Mutual Funds, Annuities, Financial Planning, Disability Ins., Life Insurance, Long Term Care Ins., FINRA, Misrepresentation, Asset Allocation, Retirement Plans, Unauthorized Trading, Suitability, churning, Failure to Supervise, Employment, U-5, Variable Annuities, Investments, Alternative Investment
Over 30 years experience with securities, investments, financial planning, and insurance at the financial advisor, supervisory, and managing principal level. Conducted over 1,000 classes, workshops, and presentations on securities, investments, financial planning and insurance to a wide variety of audiences including financial professionals, university students, and consumers. During tenure as supervisor & managing principal provided suitabily guidance on thousands of securities & investment transactions. Developed and taught compliance training programs and implemented policies & procedures to assure branch offices, financial advisors and managers, were in compliance with FINRA and SEC regulations. Areas of Expertise include: Suitability Churning Failure to supervise Breach of fiduaciary duty Asset allocation Unauthorized trading Over concentration Misrepresentation Mutual funds Financial Planning Annuities Retirement Plans Life insurance Disability insurance Long term care ins...
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Kerry Campbell, CFA®, CFP®, AIFA® Kerry Campbell LLC

Staten Island, New York
Financial Expert Witness, Securities & Investments Expert Witness - FINRA Expert, Fiduciary Duty, Damage Calculations, Well-Managed Account, Mutual Funds, Exchange Traded Funds, Investment Manager Due Diligence, Suitability, Uniform Prudent Investor, Trading Analysis, Financial Planning, Portfolio Management, Hedge Funds, Mutual Funds, Fiduciary Best Practices.
Mr. Campbell has over 30 years of financial industry experience. He is the principal of a financial litigation and investment management consulting firm, Kerry Campbell LLC, where he serves as a financial expert witness during litigations and provides consulting services to financial institutions and investors. He has worked in investment research and portfolio construction, as a Managing Director at Arden Asset Management, and as a Senior Vice President at Guggenheim Partners. He has worked in prime broker risk management as a Managing Director at Bear Stearns. Prior to that he worked as a commissioned registered representative, a funding officer and as a credit analyst/loan officer. Mr. Campbell received a Masters of Business Administration in Finance from the University of Chicago Booth Graduate School of Business and a Bachelor of Science in Finance Summa Cum Laude from Fordham University Gabelli School of Business. He is an Approved FINRA Dispute Resolution Arbitrator, a...
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John J. Duval, Jr. Accelerant LLC

Staatsburg, New York
Financial Expert Witness, Securities & Investments Expert Witness - investment suitability, fiduciary duties, Regulation Best Interest, registered investment advisor, FINRA, arbitration, stocks, bonds, private placement, option, alternative investments, damage models
Jack is the Managing Partner and an expert witness at Accelerant, a securities litigation consulting boutique. He has broad and deep experience in complex investments and strategies, including: hedge funds, fund-of-funds, liquid alternatives, private equity, venture capital, managed futures, structured products, securitized products, and other private placements, as well as equities, fixed income, options, and insurance. Jack is also an expert in securities rules, regulations, and industry custom and practice. He holds the FINRA Certified Regulatory and Compliance Professional (“CRCP”) designation from the FINRA Institute at Wharton. FINRA describes the CRCP program as "a comprehensive and rigorous course of instruction on the foundation, theory and practical application of securities laws and regulation." Jack’s testimony frequently includes discussion of FINRA suitability and supervisory rules, and fiduciary obligations of registered investment advisors, registered representati...
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