Unauthorized Trading Expert Witnesses

Lakeland, Florida

Securities & Investments, Financial - Derivatives, Swaps, Futures, ISDA/SIFMA/NAESB Documentation, UCC Article 8, Foreign Currency, Financial Products, Municipal Bonds, Hedge Funds, Securitization, CFTC and SEC Compliance, LIBOR/SOFR transition issues, Secured Transactions, Commodity Finance, Agricultural Hedging, Unauthorized Trading, Churning, Howey Test

James Lovely provides expert witness, litigation support, and consulting services concerning all types of derivatives and other capital markets products. His expertise encompasses both academic training and extensive legal and financial work experience involving the regulation, structuring, hedging, documentation, execution, management and termination of financial products, including futures, options, swaps, derivatives, and bonds, ISDA, NAESB and SIFMA documentation, repurchase agreements, liquidity facilities, structured financial products, commercial paper programs, securitizations, commodity financing, and prime brokerage arrangements. He also advises clients on LIBOR/SOFR transition issues. He is experienced with the U.C.C., including particularly Article 8 of the UCC related to securities and financial asset transfers and Article 9 related to secured transactions.

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 Investments, CFP® Professional, 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 in FINRA arbitrations, other arbitration forums, and state and federal court for matters involving customer disputes and employment issues within the financial services industry. Mr. Besnoff’s expert engagements typically involve sales practices and alleged violations of rules and industry standards in the areas of securities, life insurance and annuities, CFP Board Code and Standards, supervisory, and U-5/employment matters. Mr. Besnoff has been engaged as an expert in more than 135 cases and has testified approximately 35 times. 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, Disabi...