Securities Expert Witnesses

San Diego, California

Legal, Securities & Investments - securities, corporations, antitrust, partnerships, limited liability companies, corporate governance, fiduciary duties, private offering, Rule 10(b)-5, Rule 506, brokers, suitability, know your customer, arbitration, freeze outs, oppression

A highly regarded legal consultant and expert witness, Professor Mark R. Lee is an expert in Securities Regulation, Corporations, Unincorporated Business Organizations, and Antitrust. He has provided consulting or expert witness services in connection with a wide variety of matters ranging from Rule 10(b)-5 liability, exemptions from registration, and compliance with SEC Rule 506 to fiduciary duties, corporate governance, “freeze outs,” and hostile takeovers to distributor terminations and revocation of hospital privileges. Professor Lee has taught at ten law schools in the United States, four in Europe. Currently, he is Professor-of-Practice and J. Lawrence Irving Senior Distinguished Teaching Fellow at the University of San Diego School of Law. He is the author of Organizing Corporate and other Business Enterprises, 6th ed. (LEXIS, 2000) (with L. Gross) [textually updated annually], Antitrust Law and Local Government (Greenwood Press 1985), and articles in academic journals. ...

San Luis Obispo, California

Trusts & Estates, Securities & Investments - Trust & Estate Litigation, Trust Disputes, Trustee Executor Conduct, Fiduciary Breach, RIA Broker-Dealer, FINRA SEC, Banking, Corporate Trustee, Compliance, Cryptocurrency, Private Equity, Closely Held, Structured Products, Complex Assets, Securities, Offshore, Complex Insurance, Employment Disputes, DST Real Estate, Lending

Jon-Eric Kronvall is a testifying expert witness with more than 35 years of experience in fiduciary governance, retail, business, and private banking, investment advisory, and securities regulation. As President of Esoteric Advisors, he delivers expert reports, declarations, affidavits, depositions, and trial testimony to courts, arbitration panels, and counsel on behalf of both plaintiffs and defendants. Mr. Kronvall's concurrent role as President, Chief Investment Officer, and Chief Compliance Officer of Wealth Innovation, a Registered Investment Adviser firm, keeps his expert opinions grounded in current market conditions. He is actively managing portfolios for high-net-worth clients using the same products, regulatory standards, and fiduciary frameworks he analyzes in litigation — informed by current practice rather than retrospective analysis. Esoteric Advisors and Wealth Innovation operate as independent practices with no shared clients, referrals, or overlapping engagements,...

Los Angeles, California

Business Damages, Accounting - CPA expert witness, forensic accounting, damages, business valuation, lost profits, reasonable royalty, alter ego, intellectual property, wrongful termination, wrongful death, breach of contract, lender liability, banking, entertainment, insurance, manufacturing, retail, securities, wholesale

Thomas Neches, managing partner of Thomas Neches & Company LLP, provides accounting, financial, business valuation and statistical analyses to assist attorneys involved in litigation. Mr. Neches has testified as an expert in state and federal courts in Arizona, California, Florida, Kentucky, Missouri, Nevada, New York and Oregon. He is a Certified Public Accountant, Accredited in Business Valuation, a Certified Valuation Analyst, a Certified Fraud Examiner and is Certified in Financial Forensics. He received his BA in Mathematics and Literature from UC San Diego and his MS in Operations Research from UCLA. Mr. Neches has testified to juries on behalf of both plaintiffs and defendants in antitrust, breach of contract, fraud, intellectual property, lender liability, personal injury and wrongful termination cases. Examples of the litigation issues he has addressed include lost profits, lost business value, determining a reasonable royalty and piercing the corporate veil. Representativ...

Los Angeles, California

Real Estate, Financial - Accounting/Auditing, Banking, Commercial and Residential Real Estate, Inverse Condemnation, Lost Profits, Damages, Antitrust, Agriculture, Lender Liability, Loss of Use, Valuation, Mortgage-Backed Securities, Ground Leases, Brokerage, Joint Ventures, Securities, REITs, Construction/Development, Diminution in Value, Alter Ego

Paul Habibi is Principal and Founder of Grayslake Advisors, a real estate expert services firm based in Los Angeles and New York City. Grayslake's client's include publicly traded Fortune 500 companies, as well as privately held, small businesses, non-profit organizations and associations and individuals. He has been retained as an expert witness in 300+ real estate litigation and regulatory matters, on engagements involving financial analysis, economic damages, accounting, valuation, and industry custom and practice. He has testified in some of the highest-profile matters in the country, in federal and state courts, including the Delaware Court of Chancery, and ADR forums. He has been retained by the vast majority of the AmLaw100 firms on behalf of both plaintiffs and defendants. He is a Senior Continuing Lecturer at UCLA Anderson School of Management, Continuing Lecturer in Law at UCLA School of Law, Faculty Advisor at UCLA Department of Economics, real estate investor and deve...

Boca Raton, Florida

Financial, Securities & Investments - FINRA, SECURITIES & EXCHANGE COMMISSION, Regulation, Securities, National Futures Association, Registered Investment Advisors, Suitability, Trading, Examinations, NFA, FINES, Registrations

Mark Paverman has over 35 years of Broker Dealer experience as a Chief Compliance Officer for large, small and newly registered Firms covering all Products (Equity, Derivatives & Fixed Income) and well as Broker Dealer services (Investment Banking, Research & Clearing). Mark currently holds series, 4,7,8,14,24,63,82 and 99.

Florida

Real Estate, Financial - Accounting/Auditing, Banking, Commercial and Residential Real Estate, Inverse Condemnation, Lost Profits, Damages, Antitrust, Agriculture, Lender Liability, Loss of Use, Valuation, Mortgage-Backed Securities, Ground Leases, Brokerage, Joint Ventures, Securities, REITs, Construction/Development, Diminution in Value, Alter Ego

Paul Habibi is Principal and Founder of Grayslake Advisors, a real estate expert services firm based in Los Angeles and New York City. Grayslake's client's include publicly traded Fortune 500 companies, as well as privately held, small businesses, non-profit organizations and associations and individuals. He has been retained as an expert witness in 300+ real estate litigation and regulatory matters, on engagements involving financial analysis, economic damages, accounting, valuation, and industry custom and practice. He has testified in some of the highest-profile matters in the country, in federal and state courts, including the Delaware Court of Chancery, and ADR forums. He has been retained by the vast majority of the AmLaw100 firms on behalf of both plaintiffs and defendants. He is a Senior Continuing Lecturer at UCLA Anderson School of Management, Continuing Lecturer in Law at UCLA School of Law, Faculty Advisor at UCLA Department of Economics, real estate investor and deve...

New York, New York

Economics, Business Damages - Economic Damages, Securities, Corporate finance, Class actions, Fraud, Financial modeling, Derivatives, Financial statements, Structured Products, Commercial Damages, Wrongful Termination damages, 10b-5, Lost Profits, Crypto, Contractual Damages, Trust, Present Value Calculation, Investor disputes, Portfolio investments, Valuation

Dr. Kumar (PhD in Finance from MIT Sloan, CFA) has almost 20 years of experience in economic consulting and specializes in the application of economic and financial theory to questions arising in business disputes, securities/derivatives and corporate finance litigation. She has expertise in economic damages quantification, business valuation (including startups and companies across a variety of niche industries), securities and structured finance litigation. She is proficient in the use of sophisticated statistical modeling and econometric techniques, including event studies, analysis of options, swaps and other complex structured products. She has been engaged several times as a testifying expert (both defense and plaintiff-side) in securities, valuation and damages-related matters, including SPAC disputes and employment arbitrations. She has also been engaged as consulting expert in a wider range of litigation including tax and transfer pricing, financial antitrust, statistical...

New York

Real Estate, Financial - Accounting/Auditing, Banking, Commercial and Residential Real Estate, Inverse Condemnation, Lost Profits, Damages, Antitrust, Agriculture, Lender Liability, Loss of Use, Valuation, Mortgage-Backed Securities, Ground Leases, Brokerage, Joint Ventures, Securities, REITs, Construction/Development, Diminution in Value, Alter Ego

Paul Habibi is Principal and Founder of Grayslake Advisors, a real estate expert services firm based in Los Angeles and New York City. Grayslake's client's include publicly traded Fortune 500 companies, as well as privately held, small businesses, non-profit organizations and associations and individuals. He has been retained as an expert witness in 300+ real estate litigation and regulatory matters, on engagements involving financial analysis, economic damages, accounting, valuation, and industry custom and practice. He has testified in some of the highest-profile matters in the country, in federal and state courts, including the Delaware Court of Chancery, and ADR forums. He has been retained by the vast majority of the AmLaw100 firms on behalf of both plaintiffs and defendants. He is a Senior Continuing Lecturer at UCLA Anderson School of Management, Continuing Lecturer in Law at UCLA School of Law, Faculty Advisor at UCLA Department of Economics, real estate investor and deve...

Memphis, Tennessee

Medical Devices, Marketing - M&A, Product Liability, Intellectual Property, Commercial Disputes, Mergers & Acquisitions, Venture Capital, Robotic Surgery, Spine, MedTech, Branding, Trademarks, Biomedical Engineering, Trade Secrets, da Vinci Surgery, Securities, Shareholder Litigation, Governance

With 23+ years of broad and deep functional experience in the MedTech/medical device industry, Eric Heinz provides litigation consulting and expert witness testimony related to commercial disputes, marketing, mergers & acquisitions, product liability, and intellectual property. Over his career, he has become a expert in the development and commercialization of surgical robotics, most notably through his past position as product manager for the da Vinci Surgical System at Intuitive Surgical. He is a registered patent agent, and is named as an inventor on 19 Issued US patents. His knowledge across product development engineering, marketing and M&A provide a unique perspective when understanding complex situations in this highly regulated industry. His extensive network in the industry (Top 1% LinkedIn Social Selling Index) facilitates warm introductions between engaged counsel and hard to source subject matter experts. He is known for his expertise in translating complex techn...