Securities & Investments Expert Witness Listings

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

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Advisors / Experts @MCS Associates National Expert Witness/Consulting Group

Tustin, California
Securities & Investments Expert Witness, Financial Expert Witness - Broker/dealer standards & compliance, investment advisor duties, securities suitability, stock trading, options/futures, investment banking, trustee duties
Banking, financial services & finance consulting group (est. 1973). Experts include investment, trust & fiduciary specialists, investment bankers, brokers, brokerage managers, compliance officers, accountants, economists, statisticians. Stocks / Bonds / Commodities / Hedge funds / Mortgage securities; Trading & portfolio management; Supervision, Operations & settlement; Syndications; Capital markets; NASD / FINRA arbitration; Damages, Economic / Statistical analysis, Valuations, Forensic accounting.

Kevin F Henry Freeman & Mills, Inc.

Los Angeles, California
Business Damages Expert Witness, Securities & Investments Expert Witness - Mergers, acquisitions, corporate finance, business interruption, stocks, bonds, capital, lost profits, business valuation, transactions, alter ego, corporate veil.

Kevin M Keefe, CFA Keefe Capital Partners LLC

San Diego, California
Financial Expert Witness, Securities & Investments Expert Witness - 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...

Barbara C. Luna, PhD, CPA, CFE, ASA, CVA, ABV, CFFA, CGREA, CREA, CMC White, Zuckerman, Warsavsky, Luna, & Hunt, LLP

Sherman Oaks, California
Business Damages Expert Witness, Accounting Expert Witness - Forensic Accounting, Damages, Lost Profits, Lost Earnings, Lost Value of Businesses and Real Estate, Fraud. Extensive Expert Testimony in breach of contract, business interruption, dissolutions, intellectual property, construction, fraud, securities, personal injury, wrongful termination matters.
Barbara Luna is a Senior Partner in the accounting and litigation services firm of White, Zuckerman, Warsavsky, Luna & Hunt. She has served as a forensic accounting, damages and valuation expert witness for over forty years in business and personal injury litigation and bankruptcy matters. She analyzes financial, accounting, economic, business, real estate and valuation issues relating to liability and damages in litigation matters and reorganization of businesses. She has testified on numerous occasions in U.S. District Court, Superior Court, Bankruptcy Court, arbitrations and depositions.

Thomas G. Taliaferro, CIMA®, AIF®

San Diego, California
Financial Expert Witness, Securities & Investments Expert Witness - 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, supervision, B/D employment issues
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. Substantial supervisory experience including managing 55 financial advisors with accounts totaling in excess of $4 billion. Experience with numerous employment issues at broker/dealers. Spotless compliance record. Accomplished public speaker. Experienced expert witness testifying in AAA, FINRA and Superior court venues and deposition. Member of Securities Experts Roundtable. Professional Designations: (all from 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--19...

Dr. Paul M. Wendee, DBA, CFP®, CBI Paul M. Wendee & Associates, LLC

Dana Point, California
Securities & Investments Expert Witness, Arbitration/Mediation Expert Witness - Due Diligence, Suitability, Fraud, Valuation, Private Placements, FINRA, Securities, Stocks, Bonds, Retirement, Financial Planning, SEC, Mutual Fund, Asset Allocation, Churning, Trading, Alternative Investments, Fiduciary, Hedge, Disclosure, Prudent, Wealth Mgmt, IRA, Banking, Real Estate, Broker
DR. PAUL M. WENDEE is the Managing Director of Paul M. Wendee & Associates, LLC, a corporate finance, private equity, and management consulting firm which he founded in 1998. He has been an entrepreneur, investment banker, securities analyst, and private equity fund manager for 36 years. He publishes an award-winning investment newsletter, the Intrinsic Value Wealth Report, www.IVWealthReport.com. He is the creator of Value Driver Theory, a new way of understanding and strategically thinking about business; and teaches courses in business, investments, economics, entrepreneurship, and finance to university students worldwide. Paul is a published author. He founded the Value Driver Institute and Research and Educational Expedition Programs (VDI/REEP), a non-profit organization with a mission to conduct research on enterprise value driver theory and the enterprise value creation process; and to take the business incubator concept to places in the world where business incubators are no...

William Fender, CPA, J.D., MBA, AIFA, RF Innovest Portfolio Solutions LLC

Denver, Colorado
Securities & Investments Expert Witness - 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
• 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 $16 billion of individual, retirement plan and foundation investment portfolios pursuant to the Investment Advisers Act of 1940 (1996 to present) • XPERT 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 investors • Over 33 years of diverse financial services experience • Ongoing investment consulting relationships with clients that include retirement plans, founda...

Gordon Yale, CPA, CFF, CFE Yale Forensics

Denver, Colorado
Securities & Investments Expert Witness, Accounting Expert Witness - Adequacy of disclosure in securities offerings , adequacy of due diligence by brokers and investment advisers, accounting and audit negligence, private placement of securities, real estate investments, fixed income securities, Ponzi schemes, financial analysis, life settlements, securities fraud.
I have testified in state and federal courts, SEC administrative hearings, FINRA and private arbitrations. Cases have included multi-billion Ponzi schemes including Medical Capital Secured Notes, Provident Royalties Preferred Stock, DBSI Housing TICs, Notes, and various land funds, IMH Secured Loan Funds, Discovery Oil, InterBank Funding Income Fixed Rate Participating Notes, Dallas Proton Treatment Center, LLC Convertible Notes and other investments including partnerships, privately offered REITs. I have conducted three investigations of Big 4 accounting firms in connection with their audits of thrift institutions, including Silverado Saving and Loan, for the Colorado Board of Accountancy, done municipal bond valuations for the state of Hawaii and served as an expert for the state of Florida in its action against Angelo Mozilo, the co-founder and former CEO of Countrywide Financial Corporation. I have owned a securities broker-dealer, worked as an investment banker and fixed ...

James R. Grinney, CFA

Palm Beach Gardens, Florida
Securities & Investments Expert Witness, Economics Expert Witness - Trust & Fiduciary investment compliance, securities suitability, portfolio management
Chief Investment Officer of Florida/Georgia, Northern Trust Bank. Directed and supervised investment activities of 70 portfolio managers in FL/GA responsible for $30 billion in high net worth personal assets. Member Northern Trust Investment Policy Committee. Member of Northern Trust Concentration Committee. Chairman - Southeast Trust Investment Committee. Team Leader - Planning and Inteligence - Southeast Disaster Recovery Committee. Regular guest speaker on Paul Kangas' PBS-TV Nightly Business Report. Past President South Florida Financial Analysts Society.

James W Lovely, BBA, MBA, JD

Lakeland, Florida
Securities & Investments Expert Witness, Financial Expert Witness - Derivatives, Swaps, Options, Futures, ISDA/SIFMA/NAESB Documentation, Prime Brokerage Agreements, Foreign Currency, Financial Products, Municipal Bonds, Hedge Funds, Securitization, CFTC and SEC Compliance
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, and ISDA documentation, repurchase agreements, liquidity facilities, structured financial products, commercial paper programs, TOB programs, securitizations, commodity financings, and prime brokerage arrangements. J.D., University of Virginia School of Law, May 1991. Law School - Order of the Coif (top 10%), Legal Writing Award (Fall 1988) M.B.A., Katz Graduate School of Business, University of Pittsburgh, July 1988. • Concentration in Corporate Finance, Investments, and Economics, Summa cum laude. Albert Wesley Frey Award (valedictorian), H.R. Young Fel...

Charles W Ranson Charles W. Ranson Consulting, Inc.

Fort Lauderdale, Florida
Banking Expert Witness, Securities & Investments Expert Witness - Trust & Estates, Fiduciary Duty, Breach of Fiduciary Duty, Prudent Investor Rule, Asset Management, Investment Management, Private Equity, Credit Products, Risk Management Derivatives, Corporate Fiduciaries, Family Offices, Alternative Investments, Multi-Family Offices, Trustee Fee Determination
As an expert witness, Ranson applies 30 years of wealth management experience for attorneys who require clear, concise, unbiased insight into complex issues in dispute between financial institutions and investors. Ranson’s expertise includes national/regional banks offering private banking, trust and investment products regulated by the OCC and state banking regulators, investment advisors regulated by the SEC, securities broker-dealers regulated by FINRA and the SEC, individual trustees, entrepreneurs, ultrahigh net worth investors and family offices. Go to www.charleswranson.com to view a video clip of Ranson.

Carrie Wisniewski B/D Compliance Associates, Inc.

Lilburn, Georgia
Securities & Investments Expert Witness, Financial Expert Witness - Broker/Dealer Compliance, Regulatory Compliance, FINRA/Sec Compliance
Carrie Wisniewski has 32+ years of securities industry experience and has earned her MBA degree in Finance and holds numerous industry designations including Certified Fraud Examiner, Certified Financial Crimes Specialist, Certified Regulatory Compliance Professional! , Certified Securities Compliance Professional! and Certified Financial Planner™. She also maintains several FINRA licenses including the 4, 7, 24, 27, 28, 53, 63, 79 and 99 and is qualified as an Industry Arbitrator for FINRA Dispute Resolution. Carrie's career accomplishments include employment as a registered representative and also as a member of the Compliance Department of Merrill Lynch. She was formerly employed by the Atlanta District Office of FINRA as a Senior Compliance Examiner, where she earned several awards for outstanding achievements. Carrie was recently elected to serve a 2nd term on the FINRA District 7 Committee. She is currently a member of the Forensic Expert Witness Association and the National S...

Daniel W Dechant Compass Wealth Advisers, Inc.

Olathe, Kansas
Securities & Investments Expert Witness, Financial Expert Witness - Asset Allocation, Failure to Supervise, Suitability, Financial Planning, Retirement Planning
As an Expert Witness, Daniel Dechant has nearly 25 years experience with securities, investments, and insurance at the financial advisor, supervisory, and managing principal levels. With this experience in securities and financial services, Dan has obtained a great deal of knowledge in these areas within the industry to serve as an Expert Witness including: Supervision, Proper Portfolio Management, Compliance, Auditing, Insurance, Equity & Fixed Income Analysis, Mutual Fund Analysis, Asset Allocation, Institution, Banking, Lending, Suitability, Licensing, Rule 405 Formerly licensed with Series 7, 9, 10, Life and currently holds Series 65. Location in all 50 states

Alan J Besnoff, CFP, ChFC, CLU Securities Expert Witness & Litigation Support, LLC

Bedford, New Hampshire
Securities & Investments Expert Witness, Insurance Expert Witness - Mutual Funds, Annuities, Financial Planning, Disability Ins., Life Insurance, Long Term Care Ins., FINRA, Misrepresentation, Asset Allocation, Retirement Plans, Unauthorized Trading, Suitability, churning, Failure to Supervise, Employment, U-5, Variable Annuities, Investments, Alternative Investment
Over 30 years experience with securities, investments, financial planning, and insurance at the financial advisor, supervisory, and managing principal level. Conducted over 1,000 classes, workshops, and presentations on securities, investments, financial planning and insurance to a wide variety of audiences including financial professionals, university students, and consumers. During tenure as supervisor & managing principal provided suitabily guidance on thousands of securities & investment transactions. Developed and taught compliance training programs and implemented policies & procedures to assure branch offices, financial advisors and managers, were in compliance with FINRA and SEC regulations. Areas of Expertise include: Suitability Churning Failure to supervise Breach of fiduaciary duty Asset allocation Unauthorized trading Over concentration Misrepresentation Mutual funds Financial Planning Annuities Retirement Plans Life insurance Disability insura...

Kerry Campbell, CFA®, CFP®, AIFA® Kerry Campbell LLC

Staten Island, New York
Securities & Investments Expert Witness, Financial Expert Witness - FINRA Expert, Fiduciary Duty, Damage Calculations, Well-Managed Account, Mutual Funds, Exchange Traded Funds, Investment Manager Due Diligence, Suitability, Uniform Prudent Investor, Trading Analysis, Financial Planning, Portfolio Management, Hedge Funds, Mutual Funds, Fiduciary Best Practices.
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...

Harold Evensky Evensky & Katz

Lubbock, Texas
Securities & Investments Expert Witness - suitability, retirement, financial planning, asset allocation, fiduciary, diversification
Chairman of a $1.6 billion Investment Advisory firm Professor, Texas Tech University, Department of Personal Financial Planning 10+ years expert testimony experience FINRA, state and federal court
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