Suitability Expert Witness Listings

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

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Mason A Dinehart III, RFC FEND - Financial Education Network Development

San Ramon, California
Securities & Investments, Insurance - Due Diligence, Suitability, Supervision, Standards of Care, Breach of Fiduciary Duty, Variable and Fixed Index Annuities, TIC's, Non-Traded REIT'S, Broker Dealer Compliance, Portfolio Analysis,Private Placements, Elder Abuse, Damages, Misrepresentation, Material Omission and Fraud,
I am celebrating 5 decades in the securities Industry. I am both a FINRA Arbitrator and the designated securities expert witness for the CA State Bar. I am a consulting expert in litigation and arbitration having testified in 25 states involving securities, insurance and annuities. Since 1991, I have been retained over 1000 times and have testified in 365 arbitrations before NASD, FINRA, JAMS, PSE, AAA and PSE along with attending and testifying in over 100 mediations. In addition, I have qualified and testified before the L.A. Federal Court along with State Courts in L.A., Orange, Fresno and San Diego. My case track record stands at 328 wins and 37 losses. From a long-standing banking background in corporate finance to underwriting and investment banking and real estate experience, I bring a strong knowledge of modern portfolio theory through the teaching of hundreds of retirement financial planning seminars at the corporate level. It is my goal to bring a refres...
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Marty Dirks Investment Strategy & Analysis

San Francisco, California
Securities & Investments, Business Damages - Damages, Fiduciary Duty, Fraud, Hedge Funds, Insider Trading, Mutual Fund, Stock Options, Pension Plan, Ponzi Scheme, Short Selling, Suitability, Business Valuation
Marty Dirks has more than 30 years of institutional investment experience with expertise in hedge fund management, valuation and analysis of securities, analysis of corporate accounting fraud, and other complex investment-related issues. As an analyst and hedge fund manager of short equity funds from 1989 through 2010, he has special expertise in the analysis of fraud and misrepresentation by publicly-traded companies. Mr. Dirks is a Senior Adjunct Professor of Finance at Golden Gate University (2006-present). He was the director of research at McCullough, a value equity manager, from 2010-2012. He was a board member for the San José pension plan from 2011-2019. From his roles as an Adjunct Professor and Investment Consultant he has proven his ability as a confident public speaker with the ability to convey technical concepts to diverse audiences. His corporate industry experience includes working at Cooper Industries (1987-1989), a Fortune 100 manufacturing company, and at Texas ...
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Kevin M Keefe, CFA Keefe Capital Partners LLC

San Diego, California
Financial, Securities & Investments - 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, Financial - 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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William Fender, CPA, J.D., MBA, AIFA, RF Innovest Portfolio Solutions LLC

Denver, Colorado
Securities & Investments - Fiduciary duties, trusts and estates, Uniform Prudent Investor Act, trustees, trust beneficiaries, suitability, modern portfolio theory, prudent investment practices, ERISA, damage calculations, investment advisers, diversification
Professional certifications and credentials - Certified Public Accountant, attorney (inactive), Accredited Investment Fiduciary Analyst, Registered Fiduciary • Principal and Senior Investment Consultant with Innovest Portfolio Solutions LLC, an SEC registered investment adviser firm that provides investment consulting services on a fee-only basis to over $21 billion of individual, retirement plan and foundation investment portfolios pursuant to the Investment Advisers Act of 1940 (1996 to present) • Expert witness focus - Fiduciary duties and responsibilities associated with the management of investment portfolios in trusts and estates, retirement plans, individual investor portfolios and foundations • Experience includes expert reports, damage calculations and testimony with respect to trustees of private trusts (including bank trust departments), beneficiaries of private trusts, retirement plan participants, retirement plan fiduciaries, investment advisers and individual investor...
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Michael B Vaughn Golden Age Advisory, LLC

Las Vegas, Nevada
Financial, Real Estate - Mortgage, Skilled Nursing, Assisted Living, HUD FHA, Multifamily, Commercial Real Estate, Seniors Housing, Partnerships, Suitability, Valuation, GSA, EB5
Expert on issues related to commercial mortgage banking, real estate partnerships and investment suitability, Valuation of closely held businesses and partnerships. Seniors Housing including Independent Living, Assisted Living, Skilled Nursing Facilities, Continuing Care Retirement Communities, HUD FHA Multifamily, Healthcare, Public and Section 8 Housing, EB5 Investments, residential Cooperatives,. Expert Witness experience includes financial and document analysis, report preparation, deposition, assistance in deposition and cross examination of opposing witnesses, and Federal and State Supreme Court testimony . Mr. Vaughn served as Director of the Office of Residential Care Facilities, part of the Office of Healthcare Programs in the Office of Housing in the Department of Housing and Urban Development. Mr. Vaughn was directly responsible for origination and asset management activities related to the $20 billion portfolio of Section 232 Insured Mortgages on Skilled Nursing and As...
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Alan J Besnoff, CFP, ChFC, CLU Securities Expert Witness & Litigation Support, LLC

Fremont, New Hampshire
Securities & Investments, Insurance - Mutual Funds, Annuities, Financial Planning, Life Insurance, Long Term Care Insurance, FINRA, Misrepresentation, Asset Allocation, Retirement Plans, Unauthorized Trading, Suitability, churning, Supervision, Employment, U-5, Variable Annuities, Alternative Investment, CFP, Fiduciary Duty, IRAs
Alan J. Besnoff, CFP, ChFC, CLU is the founder of Securities Expert Witness & Litigation Support, LLC, and provides litigation consulting services and expert testimony for matters involving customer disputes and employment issues within the financial services industry. Mr. Besnoff’s expert engagements typically involve sales practices and violations of rules and industry standards in the areas of securities, life insurance and annuities, supervisory, and U-5/employment matters. Alan Besnoff has 30+ years of experience within the industry, primarily in supervisory and leadership positions. Mr. Besnoff has passed FINRA registration examinations for Series 6, 63, 65, 7, 26, and 24, as well as state licensing examinations for Life Insurance & Annuities, Disability Insurance, Long Term Care Insurance, Variable Life Insurance and Variable Annuities. Professional designations held by Mr. Besnoff: Certified Financial Planner, CFP Chartered Financial Consultant, ChFC Chartered Life U...
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Kerry Campbell, CFA®, CFP®, AIFA® Kerry Campbell LLC

Staten Island, New York
Securities & Investments, Financial - Uniform Prudent Investor Act, UPIA, Fiduciary Best Practices, Fiduciary Duty, Breach of Fiduciary Duty, Trust and Estates, Trustees, Trustee Beneficiaries, Damages, Suitability, Financial Planning, Portfolio Management, Asset Allocation, Elder Abuse, Prudent Investor Rule, FINRA, Financial Planning
Mr. Campbell has over 30 years of financial industry experience. He is the principal of a financial litigation and investment management consulting firm, Kerry Campbell LLC, where he serves as a financial expert witness during litigations and provides consulting services to financial institutions and investors. He has worked in investment research and portfolio construction, as a Managing Director at Arden Asset Management, and as a Senior Vice President at Guggenheim Partners. He has worked in prime broker risk management as a Managing Director at Bear Stearns. Prior to that he worked as a commissioned registered representative, a funding officer and as a credit analyst/loan officer. Mr. Campbell received a Masters of Business Administration in Finance from the University of Chicago Booth Graduate School of Business and a Bachelor of Science in Finance Summa Cum Laude from Fordham University Gabelli School of Business. He is an Approved FINRA Dispute Resolution Arbitrator, a...
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Michael B Vaughn Golden Age Advisory, LLC

New York
Financial, Real Estate - Mortgage, Skilled Nursing, Assisted Living, HUD FHA, Multifamily, Commercial Real Estate, Seniors Housing, Partnerships, Suitability, Valuation, GSA, EB5
Expert on issues related to commercial mortgage banking, real estate partnerships and investment suitability, Valuation of closely held businesses and partnerships. Seniors Housing including Independent Living, Assisted Living, Skilled Nursing Facilities, Continuing Care Retirement Communities, HUD FHA Multifamily, Healthcare, Public and Section 8 Housing, EB5 Investments, residential Cooperatives,. Expert Witness experience includes financial and document analysis, report preparation, deposition, assistance in deposition and cross examination of opposing witnesses, and Federal and State Supreme Court testimony . Mr. Vaughn served as Director of the Office of Residential Care Facilities, part of the Office of Healthcare Programs in the Office of Housing in the Department of Housing and Urban Development. Mr. Vaughn was directly responsible for origination and asset management activities related to the $20 billion portfolio of Section 232 Insured Mortgages on Skilled Nursing and As...
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Jesus D. Mattei, CFA Rockelis Partners

San Juan, Puerto Rico
Securities & Investments, Financial - Bankruptcy, Debt Restructuring, Valuation, Asset Management, FINRA, Arbitration, Mutual Funds, Municipal Bonds, Suitability, Market Manipulation, Insider Trading, Fraud, Cherry-Picking, Pension Plans, Retirement Plans, Broker Dealer, Due Diligence, Churning, Fiduciary Duty, Supervision
Over $25 billion in transactional experience including advising the Government of Puerto Rico on the largest ever municipal debt restructuring in US history. Participated actively in pivotal matters of the Puerto Rico restructuring, including litigation and mediation strategy, negotiations with creditors, and communications with national credit rating agencies. More than 15 years of experience in investment management, public financing, and banking operations. Has been portfolio manager for over 15 mutual funds and separate managed accounts with an aggregate of more than $3.5 billion in assets under management. Oversaw a $150 million open-ended investment fund structure based in Luxembourg. Experience with fund leverage program with over $4 billion in aggregate repo and commercial paper lines. CFA Charterholder, approved as FINRA Dispute Resolution Arbitrator, and previously held FINRA Series 7 and Series 66 licenses. Served as board member for entities that include: Puerto Ric...
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