19 Securities Regulatory Compliance Expert Witnesses Found

Banking, Financial - Banking operations, Checking Accounts, Bank Fraud, Trusts & fiduciary, Credit underwriting, Lending (all types), Loan administration, Mortgage banking, Foreclosures, Lender liability, Securities & investments, Economics & Accounting, Damages, failed banks analysis / D&O liability.

MCS ASSOCIATES (established 1973) is a nationwide specialist expert witness and litigation consulting group that concentrates in seven key areas:  Banking and Lending  Securities & Investments  Investment Banking & Finance  Financial Services  Insurance  Real Estate  Damages, Economic Analysis & Forensic Accounting Our company takes greater pride and care in identifying and selecting the right experts with the specific specialized expertise needed for each assignment, and we undertake expert witness assignments throughout the United States. Our clients include several thousand leading national and regional law firms, as well as many smaller and specialized boutique practices, and we also work extensively with numerous regulatory and government agencies. BANKING & LENDING: Experts include a wide range of senior bankers, lenders, consultants, accountants, trust & investment managers, regulators, etc....

Real Estate, Insurance - Residential, Commercial, Industrial, Construction, SBA, Lending, Appraisal, RESPA/TIL, Broker standards, Escrow, Title insurance, Leasing, Property management, Foreclosure, Agent/Broker duties, Insurance underwriting, Claims, Bad faith, Life, Health, Disability, Property/Casualty, Reinsurance, etc.

MCS Associates (established 1973) is a nationwide specialist expert witness and litigation consulting group that concentrates in seven key areas:  Banking and Lending  Securities & Investments  Investment Banking & Finance  Financial Services  Insurance  Real Estate  Damages, Economic Analysis & Forensic Accounting Our company takes greater pride and care in identifying and selecting the right experts with the specific specialized expertise needed for each assignment, and we undertake expert witness assignments throughout the United States....

Real Estate - Personal Injury, Slip, Trip, Fall, Reconstruction-Photo/Video, Title 24 Part 2 - California Building Code, Title 24, Part 3 NFPA 70, National Electrical Code (NEC), Americans with Disabilities Act (ADA), Permits/ Construction Docs, Realtor Disclosure, Misrepresentation, Negligence, Affirmative Duty

DBI Expert Witness is a commercial real estate Consulting Firm that offers services, including workplace safety and health standards of care and OSHA compliance services. • Litigation consultation services and trial testimony • Expert consultation on public safety, building compliance and personal injury • Building Code violations and property owner negligence • California Building Standards Code (Title 24) • Application, interpretations, compliance and industry consensus standards of the OSH ACT of 1970 • Lease obligations and Landlord/Tenant default Extensive experience in asset and property management issues related to management operations, leasing, Landlord/Tenant disputes, slip & falls, property inspection and maintenance, security, fiduciary and affirmative duties, plus standards of care for commercial facilities. Dr....

Securities & Investments - FINRA Programs, FINRA Risk Hierarchy, FINRA Sales Practice Issues, FINRA and SEC Rules, Reg BI, Assessment of Internal Controls, Broker-Dealer Compliance and Supervision, Broker-Dealer Regulatory Issues, and Risk Monitoring and Mitigation.

President and Founding Principal of Diles Consulting, Colleen has 25 + years of experience in the securities industry. Colleen worked at the Financial Industry Regulatory Authority (FINRA) for 22 years supervising both Examination and Risk Monitoring teams. Most recently, at FINRA, Colleen served as Risk Monitoring Director and Los Angeles Office Senior Leader. Prior to joining FINRA, Colleen held the position of Mutual Fund Administration Supervisor at Chase Global Fund Service Company in Boston, Massachusetts. During her tenure at FINRA, Colleen developed and enhanced company programs and processes and successfully worked with technology partners to create solutions to advance Risk Monitoring business needs. Additionally, Colleen served as the Los Angeles Regulatory Point of Contact and established relationships with federal and state regulators through stakeholder forums....

Real Estate, Financial - hard money lending, private money lending, mortgage broker, mortgage lender, usury, consumer credit, agency, foreclosure, mortgage securities, mortgage pool, Department of Real Estate, Department of Financial Protection, mortgage licensing, consumer mortgage, construction loans, mortgage loans

Areas of Practice Legal Practice: Mortgage Lending, including business and consumer loan origination, licensing, compliance with California and federal lending laws, mortgage backed securities, and administrative defense Mortgage Broker Practice: Active mortgage broker since 2016, brokering tens of millions of dollars of mortgage loans per year, including conducting the application process, underwriting, loan disclosure, legal compliance, documentation, investment compliance and regulatory reporting. California Bar 1978 #81839 Department of Real Estate Broker 2016, Broker #02003304, NMLS #1600274 Professional Affiliations State Bar of California California Mortgage Association AV rated by Martindale.com Biography For the past 40+ years Dennis Doss has represented mortgaged lenders of all kinds as well as mortgage brokers who sell, fractionalize and market trust-deed secured investments to the public. Mr....

Computers, Cybersecurity - Computer, Digital Forensics, Discovery, Databases, Class Action, Hacking, Breach, Encryption Safe Harbor, Health Care Data, Digital Medical Records, HIPAA, PII

...John maintains an active national security clearance at the SECRET level. John has taught information technology courses for the University of Phoenix (San Diego and Online campuses) and Coleman University (San Diego) where John pioneered the development of computer game software development instruction, now a core part of the Coleman curriculum. John has also taught philosophy courses for the University of Phoenix, including critical thinking. He incorporates Irving Copi's chapter on Logic and the Law in his lectures and is deeply familiar with the essential distinction between presenting/establishing facts and arguing the law. The CISSP®-ISSAP® is a globally recognized certification for information technology and cybersecurity. The CISSP® certifies an expert-level competency across the entire spectrum of information technology, importantly including legal and regulatory compliance aspects....

Securities & Investments, Banking - RIA, Broker Dealers, Banking, Lending, Estates, Trusts, Fiduciary, Securities, Crypto & Specialty Assets, Reg BI, Accredited, International, Firm Practice, Regulatory, Risk Management, 1031/DST, Complex Insurance Plans, FINRA, OCC, SEC, Forensic, Fraud, Human Resources, Case Strategy, Supervision.

With over 38 years of experience in the financial services industry, I currently hold the positions of President, Chief Compliance Officer, and Owner of 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. I am the President, Founder, and Owner of Esoteric Advisors, a collaborative consulting and expert witness company that aims to foster a robust and extensive collegial network of fellow experts. My professional journey includes serving as a FINRA and court admitted expert witness. I have authored numerous expert reports, participated in depositions, and provided testimony in arbitration and court proceedings. My unwavering commitment to business and personal compliance, legal integrity, and creditworthiness is impeccable. I have held several significant positions with a major financial institution....

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

...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-in-Residence 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....

Pharmaceutical Regulation, Infectious Diseases - Food and Drug Administration (FDA), drug/biologics safety/labeling/post-marketing surveillance, FDA drug/biologics regulations/procedures/applications (INDs/NDAs/BLAs), clinical trials, drug development, pharmacy compounding, HIV, MRSA, antibiotics, hepatitis, osteomyelitis, influenza, C. difficile

...He has extremely broad experience with FDA regulatory submissions (INDs, NDAs, BLAs, post-marketing safety, labeling supplements) for both small molecules and biologics. He has extensive familiarity with FDA regulations, processes, and procedures, including drug/biologic labeling and compliance requirements. Dr. Ross was the recipient of CDER’s Excellence in Communication and Excellence in Leadership Awards. Dr. Ross has published extensively in book chapters and medical articles. He is a frequently invited presenter at medical conferences, industry meetings, medical societies, and hospital grand rounds. Dr. Ross is an experienced expert witness at the federal and state levels. Dr. Ross has been called upon to express opinions in the areas of medical malpractice, personal injury, negligence, standard of care, and product liability....

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....

Gaming & Gambling, Security - Premises Liability, Casino Surveillance, Casino Security, Inadequate Security, Hotel Security, Corporate Investigations, Investigations-Criminal Matters, Investigations-Civil Matters, Compliance Investigations, Due Diligence Investigations, International Investigations, Gaming Regulatory Compliance

...He has over 30 years of experience in casino security and surveillance operations. In addition to his consulting services, he has served in senior management positions with four publicly traded casino and hotel corporations. As the senior security executive, he was responsible for developing, implementing and managing corporate security, guest and premises security programs for multiple property operations, including CCTV surveillance and security systems. He has consulted on domestic and international investigations and security matters. Investigations included, but were not limited to, compliance investigations of individuals, corporations and companies, violations of local, state and federal laws, violations of gaming regulatory compliance, and civil matters. He has conducted operational audits of gaming security and casino surveillance operations and assisted clients with installation of CCTV surveillance and security systems.

Gaming & Gambling, Security - Surveillance, Gaming, Casinos, Internal Theft & Fraud, Gaming Regulatory Compliance, Loss Prevention, Investigations, Premises Liability, Security, Risk Management, Retail, Restaurant, Hotel, Bars/Lounges/Nightclubs, Safety/Slip, Trip & Fall.

Derk is an independent consultant with over 36 years of gaming surveillance, security and loss prevention experience. He has served in executive positions in security, surveillance and compliance capacities for both commercial and tribal gaming. Derk is Board Certified as a security professional and possesses knowledge and proficiency in security principles and practices, business principles and practices, legal aspects of security, personnel security, physical security, information security, crisis management and investigation. He has earned professional certification as a Certified Fraud Examiner (CFE), as a Certified Protection Professional (CPP) and as a Certified Surveillance Professional (CSP). He is currently the President of the International Association of Certified Surveillance Professionals (IACSP) and is one of its founding members.

Industrial Hygiene, Safety - Occupational health, emergency planning and response, job hazard assessment, personal protective equipment, fall protection, respiratory protection, chemical safety, air sampling, workplace surveys, disaster recovery, pandemic planning, hazard communication, confined space

...Extensive experience in compliance management, training, and assessment in manufacturing, utility, and retail services. Co-ordinated joint hazmat training exercises with the Department of Homeland Security, EPA, and state and local emergency organizations. Mr. Collipi has more than 40 years of experience in industrial hygiene field, specializing in occupational health & safety, hazardous materials management, indoor air quality, chemical hygiene and hazardous waste management. He served as the designated company witness for AT&T in asbestos litigation since 2009 and designated by the company as a witness in investigations by regulatory agencies in a variety of matters related to environment, health and safety compliance. He is experienced serving as an expert witness, developing processes and documents to support compliance with consent judgment orders and other enforcement actions....

Safety, Industrial Hygiene - Construction, Research and Development, Environmental, Occupational Health, Noise, Accident Investigations, Risk Management, Fatality Investigations, ISO Management Systems, Insurance, Emergency Management, Drug/Alcohol Use Management, Behavioral Management, Training, Contractor Safety, Owners Rep.

...Technical proficiencies in industrial hygiene, safety and environmental disciplines, regulatory compliance analyses, product EH&S program development, permitting, training, ergonomics, EH&S audit and gap analysis, corrective action development, risk management analysis, workers compensation claims management and wellness programs and construction EH&S within a multitude of manufacturing, construction, research and development, governmental and administrative environments. Owner/President – 2021-present- Marianne Santarelli Safety, Industrial Hygiene and Environmental Consulting Services, LLC • A full-service Safety, Occupational Health and Environmental Consulting Service that provides personal one on one comprehensive consulting on the complete range of EH&S issues, topics, and problems....

Insurance - Life & Health Insurance, Property Insurance, Directors & Officers, Insurance, Insurance Agent/Broker Liability, Insurance Bad Faith, Insurance Coverage, Insurance Wholesale Broker/MGA Liability, Insurance Claim Disputes, Insurance Coverage Disputes, Insurance Agent/Broker Duties

Unique Professional Experience as Lawyer, and as an Insurance Broker and Insurance Brokerage Executive: * Over 30 years of combined insurance brokerage executive and senior corporate counsel experience; * Over 20 years of executive management experience with international, large regional, and financial institution owned insurance brokerages; and, * 11 years of senior in-house litigation case management experience handling multiple billions of dollars in case exposures in nearly every state and throughout the world, for two of the largest international insurance brokers, in addition to handling regulatory compliance, contract negotiations, and employment matters Broad Coverage Experience: Property & Casualty; Employee Benefits/Life & Health (qualified and non-qualified); D&O/Employment Practices Liability/Fiduciary; Property/Business Interruption/Boiler & Machinery/Inland & Ocean Marine; and, Casualty: General Liability/Professional Liability/Workers Compensation/Umbrella/Excess....

Aviation & Aerospace, Safety - Air Carrier Access Act, Flight Attendant Emergency Procedures, Training and Program Development, Investigation of Inflight Cabin Emergencies; medical incidents, turbulence, evacuations, fire, etc., Passenger/Cabin Crew Illness/Injury, Threat Error Management, Safety Management Systems, Human Factors

Expert witness, consultant, program developer, trainer and internationally recognized speaker on commercial airline flight attendant and gate personnel training, performance, safety and FAA regulatory compliance. More than 40 years of experience in the commercial aviation industry; holding such positions as: Manager of Health, Safety and Security for Inflight Division, Senior Inflight Safety Investigator, Emergency Procedures Instructor for pilots and flight attendants, Station Manager, flight attendant and customer service supervisor. Other aviation roles included Chairperson of an FAA supported Aviation Safety Action Program for flight attendants, member of the Air Transport Association (A4A)Cabin Operations Committee and co-developer of Passenger Incident Review Committee process for a major global airline....

Cybersecurity, Information Technology - Third Party Vendor Management, Third Party Security Assessments, Vendor Security Assessments, Cybersecurity Risk Management, Cybersecurity Programs, Cybersecurity Governance, Cybersecurity Regulatory Compliance, Information Security Programs, Information Security Policies, Data Security Compliance

Award winning information security and cyber risk expert. Thirty-five years of experience including secure communications systems, network security, data protection, security program management, policy development, compliance oversight, cybersecurity assessments and third party risk management. Delivery of cybersecurity solutions and third party risk management programs in the financial services/insurance, consulting/advisory and defense industries. Degrees in electrical engineering technology and network security. Co-developed industry leading Third Party Risk Management professional certification. Certified Information Systems Security Professional (CISSP), Certified Third Party Risk Professional (CTPRP) and Certified Third-Party Risk Assessor (CTPRA). Experienced public speaker and trainer.

Transportation, Industrial Design - wheelchair transportation, biomechanics, public transit, railcar boarding, accessible air travel, wheelchair securement, wheelchair restraint, seatbelt, crash safety, ergonomics, accessibility, paratransit, wheelchair lift, medical device, ramp, school bus, walker safety, warnings, usability, ADA

.... • Securement of wheelchairs and scooters, along with associated labeling. • Seat belt restraints for wheelchair-seated occupants and related labeling. • Accessibility for wheelchair users in various environments, such as sidewalks, crosswalks, bathrooms, amusement parks, and public vehicles. With a strong background in Industrial Design Engineering and a decade of industry experience, Dr. van Roosmalen extends her expertise to medical device design and compliance. Her specific competencies include: • Device human factors and ergonomics, covering medical devices, injector systems, drug/device combination devices, device labeling, instructions for use, and intra-uterine devices (usability, safety, comfort, regulatory compliance). • In-depth knowledge of medical device regulations and their application to safety and effectiveness for use (IEC62366). In summary, Dr....

Dentist, Business Valuation - Appraisal & Valuation, Fraud, GP & Specialty Dentistry, Solo & Multi-Doc Practices, DSO, Staff Issues, Estate, Divorce, Malpractice, Mergers, Entrepreneur, Practice Interruption, Income Loss

PRIVATE PRACTICE: 3 Start-ups; MD & DC; 1982-1996 USAF DENTIST: WA: 1998-2001 OFFICE NETWORK: TX & MD: 1999-2014; Practice Broker for National Company DENTAL OFFICE NETWORK: 2014-Present; Independent Practice Broker; Entire US PRACTICE RESCUE: 2015-PRESENT: Trademarked as: "Regulatory compliance consulting services and business management services in the fields of dentistry and medicine." Formal Training as AFTCO Transition Analyst 1999-2014 (RARE for any dental broker!). #1 (out of 70+) National Analyst numerous years! Started own practice transition company, DENTAL OFFICE NETWORK, 2014. Expertise in all forms of GP & specialty dental transition arrangements: solo & multi-Doc, private and corporate, DSO, urban and rural, leased, owned, and shared real estate locations, new construction, remodel and compliance renovation, mergers, associateships, estate, divorce, and family practices....