Banking Expert Witnesses in New Jersey

Avon by the Sea, New Jersey

Securities & Investments, Banking - Securities Litigation, Financial, Supervision, Suitability, FINRA, SEC, Churning, Equities, Options, Derivatives, Structured Products, CFE - Certified Fraud Examiner, Regulatory Investigations, Hedge Fund, Sales, Compliance, Penny Stocks, Leverage, Disclosures, Margin

Mike is a seasoned financial compliance executive, regulator, CFE, and entrepreneur with over 30 years of experience leading global financial institutions, including Goldman Sachs, Lehman Brothers, and BNP Paribas. He has served as Chief Compliance Officer (CCO) for three broker-dealers, two Futures Commission Merchants (FCMs), the New York bank branch of BNP Paribas, and as Global Head of Financial Markets Compliance in Paris and London for four years. Mike’s comprehensive expertise spans compliance, risk management, and overseeing regulatory functions across multiple jurisdictions, product areas, and high-profile regulatory investigations. He now specializes in securities litigation support, arbitrations/courts, expert testimony, and expert reports for issues such as suitability claims, failure to disclose risks, regulatory compliance violations, market manipulation, KYC/AML, conflicts of interest, and failure to supervise. He has appeared before FINRA, SEC, CFTC, OFAC, and the D...