9 Registered Investment Advisor Expert Witnesses Found

Results Sorted Below by State

Harold "Trey" Fairman III, AIF®, J.D., LL.M. Financial Services Industry Expert

Fayetteville, Arkansas
Insurance, Securities & Investments - Life Insurance,ERISA,FINRA,Premium Financing,IUL,Negligence,Life Settlement,Indexed UL,Annuities,STOLI,Economic Damages, Misrepresentation,Disability,Unfair Sales Practices,Fraud,Standard of Care,Variable, LTC, 401k,Illustration,VUL,FIA,ILIT,Bad Faith,Policy Lapse,Fiduciary,Agent Duty,403b,Deceptive
...Over my career, I have partnered with insurance agents, fiduciaries, attorneys, accountants, pension actuaries, registered investment advisors, financial planners, Wall Street firms, Private Banks, and Trust Companies to provide investment and insurance planning services. I have extensive knowledge of various financial services, from basic to complex. Experience includes 401(k) fiduciary oversight and plan governance, standards of care and prudent processes, business owner planning, estate tax liquidity planning, and income replacement planning. Product experience includes most types of investment vehicles, annuities, disability income insurance, long-term care insurance, and most varieties of life insurance, including term life, whole life, universal life, indexed life, variable life, and private placement life insurance....

David C. Hinman, CFA Hinman Capital Services LLC (HCS)

Corona del Mar, California
Financial, Securities & Investments - Asset Management, Bond Trading, Fixed Income, Emerging Market Debt, High Yield Bonds, CLOs, Hedge Funds, Mutual Funds, Credit Derivatives, CDS, Prospectus Disclosure, Bond Defaults / Restructurings, AT1s, CoCos, Bank Loans, Bank Asset Liability, SEC Rule 144a, Bond Pricing, Chief Investment Officer
...His expertise includes analyzing, trading, and managing portfolios of credit derivatives, investment grade and high yield corporate bonds, bank loans, emerging market debt, and structured credit. As an investor, he has also participated in numerous corporate bankruptcies and debt restructurings and served on creditor workout committees. He co-founded and sold a SEC registered investment advisor, where he served as Chief Investment Officer. He has expertise regarding hedge and mutual fund disclosures, documentation, and regulations. He has detailed familiarity with bond offering documents, typical disclosures, as well as bond investor expectations regarding information provided by both issuers and underwriters. He previously held Series 3, 63, 65 and 7 licenses. He has also testified in depositions, FINRA arbitration and in federal court.

Peter John Ingersoll, CCIM Safe Harbour Equity, Inc.

Oceanside, California
Cannabis, Securities & Investments - Cannabis, marijuana, banking and financing, receiverships, bankruptcy, FINRA, syndication, 1031 exchanges, investor disputes, securities fraud, breach of contract, breach of fiduciary duty, investor lawsuits, unregistered securities, investor fraud, shareholder disputes, governance, compliance
Cannabis real estate and investment thought leader. Managing director and cannabis product chair for Sperry Commercial Global Affiliates, the first national real estate firm to embrace cannabis as legitimate investment sector. Expertise in cannabis including breach of contract issues, breach of fiduciary duty, financing & private equity, governance documents, 1031 exchanges, sale-leasebacks, broken development deals, partner disputes, receiverships (bankruptcy is not available for cannabis enterprises), investor disputes, and unregistered securities litigation. Former Series 65 registered investment advisor. Graduate of Wharton School – University of Pennsylvania - BS of Economics. Co-Captain of the wrestling team

JON-ERIC L KRONVALL Esoteric Advisors

San Luis Obispo, California
Securities & Investments, Financial - Broker Dealers, Banking & Lending, Negligence, Trusts, Hybrid Securities, Crypto Assets, Specialty Assets, Dual RIAs & Broker Dealers, Fiduciary, Reg BI, Accredited, Estates, Testamentary Litigation, Offshore, Practice Management, Regulatory, 1031/DSTs, Captive Insurance, FINRA, fraud.
...My functional areas of oversight included consumer and business loan portfolios, insurance and investment partners, and various other business lines of production. In my capacity as a Wealth Manager, I managed a credit, investment, and fiduciary portfolio valued at over $5 billion in assets. The revenues generated by these relationships amounted to over $3 million dollars annually. I have successfully collaborated with regulatory agencies, law enforcement, and multinational entities on cross-border matters. As an entrepreneur, I have established several consulting firms serving both consumers and businesses. Currently, I hold the positions of President and Chief Compliance Officer at Wealth Innovation, a boutique Registered Investment Adviser firm. Additionally, I am the founding advisor at Wealth Advocacy, a consultancy specializing in business and consumer financial services....

Daniel M Reser, JD Fiduciary Services, Inc.

San Rafael, California
Financial - Independent Fiduciary, Corporate Retirement Plans, ERISA, ESOP, Trusts, Benefits,Mergers,Acquisitions,Valuation, Fiduciary Duty
...(“FSI”), a registered investment advisor located in San Rafael, California. Mr. Reser and FSI focus on providing trustee and fiduciary services for transactions and ongoing administration related to Employee Stock Ownership Plans or ESOPs. An ESOP transaction involves purchasing company stock from business owners who are looking for an exit or liquidity plan for their businesses where the shares are placed in a trust for the employee/participants. There can be significant tax and incentive advantages for selling to and maintaining an ESOP owned company. Besides holding an undergraduate and law degree from Southern Methodist University Mr. Reser graduated from the UCLA John Anderson Graduate School of Management Executive Program. He is also a member of the Western Pension Benefits Conference, The ESOP Association and the National Center for Employee Ownership. Mr. Reser has had his presentations picked up on newswires for speaking at ESOP Association events.

Charles W Ranson Charles W. Ranson Consulting Group, LLC.

Fort Lauderdale, Florida
Banking, Securities & Investments - Trust & Estates, Corporate Trustees, Individual Trustees, Trust Beneficiaries, Estate Executors/Personal Representatives, Estate Beneficiaries, Trustee Duty of Loyalty, Trustee Duty of Impartiality, Trustee Duty to Account Trustee Fee Litigation, Prudent Investor Rule, Trustee Duty of Prudence
...Counsel that engages my services typically represents corporate and individual trustees, trust beneficiaries, estate personal representatives/executors, estate beneficiaries, registered investment advisors, ultra-high net worth investors, and family offices. In assisting plaintiff or defense counsel in trust and estate litigation claims of breach of fiduciary duty my liability analysis is conducted in light of state probate statutes, terms of the trust instrument, and the prevailing customs and practices in corporate fiduciary services. Each case is analyzed in light of the facts and circumstances alleged/defended in the matter and the corresponding fiduciary standard of care applied to the case allegations, facts, and circumstances. www.charleswranson.com to view a video clip of Ranson.

Bob Lawson, CSCP®, AIF®, CFE®, MRFC®, LUTCF® Barrington Financial Consulting Group, Inc.

Bloomington, Minnesota
Securities & Investments, Insurance - Ponzi Schemes, FINRA Expert Witness, FINRA Arbitration Expert Witness, Securities Expert Witness, Mutual Fund Expert Witness, FINRA Arbitrator, Fiduciary Expert Witness, Securities Compliance Expert Witness, Annuity Expert Witness, Options Expert Witness, Securities Fraud Examiner, Annuity Expert
...Robert Lawson has 40 years of experience in the financial services industry with securities, investments, retirement plans, and insurance and in a professional capacity as a registered representative, financial advisor, investment fiduciary, branch manager, securities, and options principal. He is the President and Chief Compliance Officer of Barrington Capital Management, Inc., a Registered Investment Advisory (RIA) firm he established in 1988. He also serves as the President and Managing Principal of Barrington Financial Consulting Group, Inc., a securities and insurance litigation consulting firm with experienced testifying and consulting experts. Mr. Lawson proudly serves as a FINRA and NFA Arbitrator (FINRA Chair-Qualified) and a FINRA Mediator where he presides over industry and public disputes pertaining to breach of fiduciary duties, negligence, failure to supervise, misrepresentation, breach of contract, monetary damages, and employment issues....

Charles W. Bowden, CLU, ChFC FSP

Smithville, New Jersey
Insurance, Financial - Life Insurance, Health Insurance, Disability Insurance, Financial Planning, Life Insurance Funding, Policy Valuation
...He is an investment Advisor Representative (IAR). As of August 2022 Retired as a Register Representative but am maintaining all insurance licensing. Securities Offered Through TFS Securities, Inc. Member of FINRA/SIPC, A Full Service Broker-Dealer Located at 437 Newman Springs Road, Lincroft NJ 07738 (732) 758-9300 Investment Advisory Services offered through TFS Advisory Services, A division of TFS Securities, Inc.

David C. Hinman, CFA Hinman Capital Services LLC (HCS)

New York
Financial, Securities & Investments - Asset Management, Bond Trading, Fixed Income, Emerging Market Debt, High Yield Bonds, CLOs, Hedge Funds, Mutual Funds, Credit Derivatives, CDS, Prospectus Disclosure, Bond Defaults / Restructurings, AT1s, CoCos, Bank Loans, Bank Asset Liability, SEC Rule 144a, Bond Pricing, Chief Investment Officer
...His expertise includes analyzing, trading, and managing portfolios of credit derivatives, investment grade and high yield corporate bonds, bank loans, emerging market debt, and structured credit. As an investor, he has also participated in numerous corporate bankruptcies and debt restructurings and served on creditor workout committees. He co-founded and sold a SEC registered investment advisor, where he served as Chief Investment Officer. He has expertise regarding hedge and mutual fund disclosures, documentation, and regulations. He has detailed familiarity with bond offering documents, typical disclosures, as well as bond investor expectations regarding information provided by both issuers and underwriters. He previously held Series 3, 63, 65 and 7 licenses. He has also testified in depositions, FINRA arbitration and in federal court.