Investment Advisor Expert Witness Listings

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

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Advisors / Experts @MCS Associates National Expert Witness/Consulting Group

Tustin, California
Securities & Investments Expert Witness, Financial Expert Witness - Broker/dealer standards & compliance, investment advisor duties, securities suitability, stock trading, options/futures, investment banking, trustee duties
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.
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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
Securities & Investments Expert Witness, Financial 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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