Securities & Investments Expert Witness

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This page contains securities & investments expert witnesses who testify, consult and provide litigation support on securities & investments and related issues. Securities & investments expert witnesses and consultants on this page may form expert opinions, draft expert witness reports, provide expert witness testimony at deposition and/or trial as or serve as consulting (non-testifying) experts. The issues and subjects these securities & investments expert witnesses testify regarding may include: Breach Of Fiduciary Duty, Fiduciary Duty, Finra, Suitability, Annuities, Asset Allocation, Damages, Financial Planning, Securities Fraud, Breach Of Contract, Business Interruption, Churning, Elder Abuse, Forensic Accounting, and Futures.

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Harold "Trey" Fairman III, AIF®, J.D., LL.M.

Arkansas
Insurance, Securities & Investments - Life Insurance, Premium Financing, Irrevocable Life Insurance Trusts, Life Settlement, Stranger Originated Life Insurance, STOLI, Investor Owned Life Insurance, IOLI, Standard of Care, TOLI, Long Term Care, 401k, Annuities, ILIT, Inforce insurance policy review, policy lapse, fiduciary oversight
I am a retirement plan and insurance expert uniquely qualified with decades of experience in the high-net-worth insurance and financial institution marketplace. I provide consulting and expert witness services regarding complex financial and insurance litigation matters to plaintiff and defense attorneys, as well as bank and investment company legal departments. I am experienced as a tax planner and an insurance broker in the high-net-worth market, with a focus on sophisticated life insurance and life settlement transactions. I am available for cases involving: Life Insurance (term, whole, universal, indexed, variable), Insurance Premium Financing, Inforce Insurance Policy Review / Policy Lapse, Life Insurance Settlements, Trust Owned Life Insurance ("TOLI"), Insurance Agent Standard of Care, Premium Financed Indexed Universal Life ("IUL") Insurance, Stranger Originated Life Insurance (aka "STOLI" and "IOLI"), 401(k) Fiduciary Oversight / Prudent Process, Disability Insurance a...

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

Tustin, California
Securities & Investments, Financial - 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.

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...

Harold "Trey" Fairman III, AIF®, J.D., LL.M.

San Marcos, California
Insurance, Securities & Investments - Life Insurance, Premium Financing, Irrevocable Life Insurance Trusts, Life Settlement, Stranger Originated Life Insurance, STOLI, Investor Owned Life Insurance, IOLI, Standard of Care, TOLI, Long Term Care, 401k, Annuities, ILIT, Inforce insurance policy review, policy lapse, fiduciary oversight
I am a retirement plan and insurance expert uniquely qualified with decades of experience in the high-net-worth insurance and financial institution marketplace. I provide consulting and expert witness services regarding complex financial and insurance litigation matters to plaintiff and defense attorneys, as well as bank and investment company legal departments. I am experienced as a tax planner and an insurance broker in the high-net-worth market, with a focus on sophisticated life insurance and life settlement transactions. I am available for cases involving: Life Insurance (term, whole, universal, indexed, variable), Insurance Premium Financing, Inforce Insurance Policy Review / Policy Lapse, Life Insurance Settlements, Trust Owned Life Insurance ("TOLI"), Insurance Agent Standard of Care, Premium Financed Indexed Universal Life ("IUL") Insurance, Stranger Originated Life Insurance (aka "STOLI" and "IOLI"), 401(k) Fiduciary Oversight / Prudent Process, Disability Insurance a...

Kevin F Henry Freeman & Mills, Inc.

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

Peter John Ingersoll, CCIM Safe Harbour Equity, Inc.

Oceanside, California
Real Estate, Securities & Investments - Cannabis, marijuana, banking and financing, receiverships, bankruptcy, FINRA, syndication, 1031 exchanges, investor disputes, securities fraud, breach of contract, breach of fiduciary duty, investor lawsuits, unregistered securities, investor fraud, shareholder disputes, governance, compliance
Cannabis real estate and investment thought leader. Managing director and cannabis product chair for Sperry Commercial Global Affiliates, the first national real estate firm to embrace cannabis as legitimate investment sector. Expertise in cannabis including breach of contract issues, breach of fiduciary duty, financing & private equity, governance documents, 1031 exchanges, sale-leasebacks, broken development deals, partner disputes, receiverships (bankruptcy is not available for cannabis enterprises), investor disputes, and unregistered securities litigation. Former Series 65 registered investment advisor. Graduate of Wharton School – University of Pennsylvania - BS of Economics. Co-Captain of the wrestling team

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

Sherman Oaks, California
Business Damages, Accounting - 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
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 ...

Scott Christian, MBA Baysore & Christian Fiduciary Services LLC

Centennial, Colorado
Securities & Investments, Real Estate - Professional fiduciary, Probate, Conservatorship, Fiduciary Duty, Forensic Accounting, Trust Administration, Power of Attorney, Prudent Investor, Real Estate, Personal Representative, Executor
- Owner, Baysore & Christian Fiduciary Services LLC for six years. - Practicing professional fiduciary. - Trustee in more than 35 trusts. - Court appointed Conservator in more than 60 conservatorships. - Personal representative in more than 40 estates. - Deep background in commercial real estate, residential real estate and resort real estate. Acquisition, divestiture, leasing of real estate as a principal - Fact witness in more than 15 contested cases.

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...

Gordon Yale, CPA, CFF, CFE Yale Forensics

Denver, Colorado
Securities & Investments, Accounting - 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 W. Lovely, BBA, MBA, JD

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.
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, TOB 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.

Charles W Ranson Charles W. Ranson Consulting, Inc.

Fort Lauderdale, Florida
Banking, Securities & Investments - 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 35+ years of wealth management experience for attorneys with clear, concise, unbiased insight into complex issues in dispute between financial institutions, trustees, beneficiaries and investors. Ranson’s expertise includes national/regional banks offering private banking, trust and investment products regulated by the OCC, individual trustees, entrepreneurs, ultrahigh net worth investors and family offices. Go to www.charleswranson.com to view a video clip of Ranson.

Braden Perry Kennyhertz Perry, LLC

Westwood Hills, Kansas
Securities & Investments, Cryptocurrency - CFTC, Commodity Futures Trading Commission, SEC, Securities and Exchange Commission, Bitcoin, Virtual Currency, Anti-Money Laundering, AML, National Futures Association, Chicago Mercantile Exchange, CME
Braden Perry is a litigation, regulatory and government investigations attorney with Kennyhertz Perry, LLC. Mr. Perry has the unique tripartite experience of a white-collar criminal defense and government compliance, investigations, and litigation attorney at a national law firm; a senior trial attorney with the Commodity Futures Trading Commission; and the Chief Compliance Officer/Chief Regulatory Attorney of a global financial institution. Mr. Perry has extensive experience advising clients in federal inquiries and investigations, particularly in enforcement matters involving technological issues. He couples his technical knowledge and experience defending clients in front of federal agencies with a broad-based understanding of compliance from an institutional and regulatory perspective.

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...

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

Staten Island, New York
Securities & Investments, Financial - Uniform Prudent Investor Act, UPIA, Prudent Investor Rule, Trust and Estates, Trustee Duty of Impartiality, Fiduciary Duty, Breach of Fiduciary Duty, Damages, Investment Suitability, Financial Planning, Portfolio Management, Asset Allocation, Investment Due Diligence, Hedge Funds, FINRA, Annuities.
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 management, 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 Master 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 Cha...

Gregory A Clark MUNICIPAL CREDIT CONS LLC

Somers, New York
Securities & Investments, Financial - municipal bonds, municipal bond credit analysis, public finance, municipal bond disclosure, state government, local government, general obligation bonds, revenue bonds, rating agencies, bond rating agencies
I understand municipal bonds and can tell you and your client what you need to know about them in a clear and thorough way. My expertise results from 41 years as a municipal bond analyst, a role that requires knowledge of municipal law and accounting, demographics, and project feasibility. During my career I have held positions at a rating agency, hedge fund, broker-dealers, commercial banks, and municipal bond insurers. I have studied probably every type of bond that's issued in the municipal market. For fourteen years I served in leadership positions in the National Federation of Municipal Analysts (NFMA) and the Municipal Analysts Group of New York (MAGNY), eventually serving as chairman of each. At NFMA I was also co-chair of both the Disclosure and Industry Practices Committees and served on a task force formed by the National Association of Bond Lawyers that addressed disclosure of pension information. In late 2015 I was retained as an expert witness in a case involving mun...

Harold Evensky

Lubbock, Texas
Financial, Securities & Investments - Investment suitability, retirement planning, wealth management, fiduciary investing
40+ years practice Founder Evensky & Katz $2billion fee only practice Professor, Texas Tech Personal Financial Planning PAST PROFESSIONAL SERVICE Chair CFP Board of Governors Chair International CFP Council Editorial Advisory Board Journal of Financial Planning Research Columnist Journal of Financial Planning Editorial Advisory Board Journal of Retirement Planning Standard & Poor SPIVA Award Judge S&P Dow Jones Indices US Advisory Panel AWARDS Kemp Fain Award (Financial Planning Association) 2018 Committee for the Fiduciary Standard) 2018 Frankel Fiduciary Prize 2019 TD Ameritrade First Advocacy Leadership Award, 2017 IMCA’s J. Richard Joyner Wealth Management Impact Award, 2017 Investment Advisor Magazine, May 2015, listed in Investment Advisor’s IA 35, The Insider's Forum Leadership Award September 2014 Charles Schwab Trailblazer IMPACT Award®. 2013 Investment News “15 transformational advisers,” 15 people who have changed the industry, 2013 Financial Planning Association “...
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