Penny Stocks Expert Witnesses

Penny stocks expert witnesses and consultants listed here may be able to form expert opinions, draft expert witness reports, provide expert witness testimony at deposition and/or trial as or serve as consulting (non-testifying) experts on penny stocks. The penny stocks expert witness listings on this page are typically from fields/areas of expertise such as: Banking and Securities & Investments.

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Mike Evans, CFE

Banking, Securities Compliance & Supervision

VEGA Compliance Consulting

Avon by the Sea, New Jersey

Securities & Investments, Banking - Securities Litigation, Financial, Supervision, Suitability, FINRA, SEC, Churning, Equities, Options, Derivatives, Structured Products, CFE - Certified Fraud Examiner, Regulatory Investigations, Hedge Fund, Sales, Compliance, Penny Stocks, Leverage, Disclosures, Margin

Mike is a financial compliance executive, regulator, CFE, member of Mensa and SER, with +30 years of experience leading global financial institutions, including Goldman Sachs, Lehman Brothers, & BNP Paribas. He was Chief Compliance Officer (CCO) for 3 broker-dealers, 2 Futures Commission Merchants (FCMs), the New York bank branch of BNP Paribas, & Global Head of Financial Markets Compliance in Paris & London for 4 years. Mike’s comprehensive expertise spans compliance, risk management, and overseeing regulatory functions across multiple jurisdictions, product areas, and high-profile regulatory investigations. He now specializes in securities litigation support and expert testimony for issues such as suitability claims, failure to disclose risks, regulatory compliance violations, market manipulation, KYC/AML, conflicts of interest, and failure to supervise. Mike has testified before FINRA, written many expert reports and been deposed many times. He has appeared at FINRA/SEC/CFTC/OFA...