Securities & Investments Expert Witnesses

The SEAK Expert Witness Directory contains a comprehensive list of 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, and provide expert witness testimony at deposition and trial. The issues and subjects these securities & investments expert witnesses testify regarding may include: Suitability, Asset Allocation, Breach Of Fiduciary Duty, Damages, Financial Planning, Finra, Annuities, Hedge Funds, Securities, Securities & Investments, Securities Fraud, Breach Of Contract, Churning, Elder Abuse, and Fiduciary.

Use the search box above to further refine your search for securities & investments expert witnesses by keyword and state. Attorneys contact the experts directly – with no middleman.

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
Banking, Financial - Banking operations, Checking Accounts, Bank Fraud, Trusts & fiduciary, Credit underwriting, Lending (all types), Loan administration, Mortgage banking, Foreclosures, Lender liability, Securities & investments, Economics & Accounting, Damages, failed banks analysis / D&O liability.
MCS ASSOCIATES (established 1973) is a nationwide specialist expert witness and litigation consulting group that concentrates in seven key areas:  Banking and Lending  Securities & Investments  Investment Banking & Finance  Financial Services  Insurance  Real Estate  Damages, Economic Analysis & Forensic Accounting Our company takes greater pride and care in identifying and selecting the right experts with the specific specialized expertise needed for each assignment, and we undertake expert witness assignments throughout the United States. Our clients include several thousand leading national and regional law firms, as well as many smaller and specialized boutique practices, and we also work extensively with numerous regulatory and government agencies. BANKING & LENDING: Experts include a wide range of senior bankers, lenders, consultants, accountants, trust & investment managers, regulators, etc. BANKING & LENDING AREAS OF EXPERTISE INCLUDE: Banking operations; Ch...

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...

Peter John Ingersoll, CCIM Safe Harbour Equity, Inc.

Oceanside, California
Cannabis, 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

Mark R Lee

San Diego, California
Legal, Securities & Investments - securities, corporations, antitrust, partnerships, limited liability companies, corporate governance, fiduciary duties, private offering, Rule 10(b)-5, Rule 506, brokers, suitability, know your customer, arbitration, freeze outs, oppression
A highly regarded legal consultant and expert witness, Professor Mark R. Lee is an expert in Securities Regulation, Corporations, Unincorporated Business Organizations, and Antitrust. He has provided consulting or expert witness services in connection with a wide variety of matters ranging from Rule 10(b)-5 liability, exemptions from registration, and compliance with SEC Rule 506 to fiduciary duties, corporate governance, “freeze outs,” and hostile takeovers to distributor terminations and revocation of hospital privileges. Professor Lee has taught at ten law schools in the United States, four in Europe. Currently, he is Professor-in-Residence and J. Lawrence Irving Senior Distinguished Teaching Fellow at the University of San Diego School of Law. He is the author of Organizing Corporate and other Business Enterprises, 6th ed. (LEXIS, 2000) (with L. Gross) [textually updated annually], Antitrust Law and Local Government (Greenwood Press 1985), and articles in academic journals. ...

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 ...

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, 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.

Charles W Ranson Charles W. Ranson Consulting Group, LLC.

Fort Lauderdale, Florida
Banking, Securities & Investments - Trust & Estates, Corporate Trustees, Individual Trustees, Trust Beneficiaries, Estate Executors/Personal Representatives, Estate Beneficiaries, Trustee Duty of Loyalty, Trustee Duty of Impartiality, Trustee Duty to Account Trustee Fee Litigation, Prudent Investor Rule, Trustee Duty of Prudence
Charles W Ranson provides litigation consulting services and expert witness testimony for plaintiff and defense counsel in trust and estate litigation cases alleging breach of fiduciary duty. Counsel that engages my services typically represents corporate and individual trustees, trust beneficiaries, estate personal representatives/executors, estate beneficiaries, registered investment advisors, ultra-high net worth investors, and family offices. In assisting plaintiff or defense counsel in trust and estate litigation claims of breach of fiduciary duty my liability analysis is conducted in light of state probate statutes, terms of the trust instrument, and the prevailing customs and practices in corporate fiduciary services. Each case is analyzed in light of the facts and circumstances alleged/defended in the matter and the corresponding fiduciary standard of care applied to the case allegations, facts, and circumstances. www.charleswranson.com to view a video clip of Ranson.

Braden Perry Kennyhertz Perry, LLC

Mission Woods, 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.

John N. Haut, JD, MBA, CPA

Sparks, Nevada
Business Valuation, Securities & Investments - Economic Damages, Copyright, Trademark, Securities Litigation, Investment Performance; Shareholder Appraisal Actions
I am a highly experienced consulting expert (over 28 years, including over 20 years at Charles River Associates and Compass Lexecon working on high stakes matters) who also has testifying experience in both state and Federal Court. I have given expert testimony (reports and depositions); managed complex cases; performed research; drafted expert reports, deposition and trial testimony scripts; supervised and performed various types of analyses; created demonstratives; and advised counsel with respect to deposition and trial strategy. I have experience in business valuation (both public and private companies), economic damages (including copyright, trademark, patent, and personal injury), securities litigation (both domestic and international), and shareholder appraisal actions. I am both a CPA and an attorney (UCLA Law School ‘93) and also have an MBA.

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 Investments, 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. Mr. Besnoff has been engaged as an expert in more than 100 cases and has testified approximately 25 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, Disability Insurance, Long Term Care Insurance, Variable Life Insurance and Variable Annuities. Professional designations...

Ed Hannon, CFA Alternative Strategy Institute

Mahwah, New Jersey
Financial, Securities & Investments - Hedge Fund, Hedge Funds, Investment, Fixed Income, Stock, Bond, Managed Futures, Fiduciary, MBS, Securities, Long/Short Equity, Fund of Funds, Funds of Funds, Risk Management, Valuation, Pricing, Trading, Operational Risk, Investment Risk, Commodities
Ed Hannon, CFA uses his decades of top-tier experience as a portfolio manager, trader, and alternative investments and manager due diligence expert to provide expert testimony and consulting services. He has provided expert reports and testimony before the American Arbitration Association and others involving hedge fund arbitrage, mortgage-backed securities valuation, and insurance damages. Ed specializes in equity, fixed income, and hedge fund investment strategies emphasizing arbitrage strategies such as long/short equity, managed futures, fixed income, credit, and convertible bond arbitrage. He is also an expert in investment strategies involving esoteric and illiquid securities such as MBS, ABS, and CLO securities. Ed consults hedge funds and traditional investment management clients on investment strategy, manager selection, and operational process optimization. He was Head of Hedge Fund Investment Due Diligence, Manager Selection, and Operational Due Diligence at Stamos ...

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...

Sandra L Kobel, CFP®, CLU®, ChFC® Kobel Financial Planning

Rochester, New York
Financial - CFP, CLU, ChFC, Financial Planning, Retirement, Registered Investment Advisor, Investments, Insurance, Financial Products, Securities, Retirement Planning, Income Planning, Asset Allocation, Long-Term Care
Sandra L. Kobel is an independent Certified Financial Planner®, Chartered Life Underwriter® and Chartered Financial Consultant® specializing in retirement planning. Her experience in a variety of capacities leads to a diverse and comprehensive knowledge base in the financial services industry and personal planning. Her boutique firm, Kobel Financial Planning, advises clients on retirement decisions - how to structure a successful, secure retirement through investments, asset allocation, income planning, long-term care, life insurance and estate planning. Ms. Kobel began her career at State Mutual of America, marketing a variety of financial products. This experience led to a robust, diverse, and comprehensive understanding of the inner workings of multiple financial products and their applications. At Capital Analyst Planning Group, she worked as an independent contractor, providing comprehensive financial planning to executives and businesses owners. At a 70-person regional CPA fi...

Rick Chess Chess Law Firm, PLC

Richmond, Virginia
Real Estate, Securities & Investments - 1031, DST, TIC, REIT, Partnerships, Opportunity Zones, Acquisitions, Business Brokerage, Fiduciary, IPO, Apartments, Taxation
Acquired 50,000 apartments (UDR) Acquired 10 retail centers (UDR) Owned apartment complex directly Engaged in 721 elections (FPO and personally) Lead conversation property assessment program (Pittsburgh) Former State Legislator (PA) Former Marine Engaged as expert on 9 cases Former Adjunct Professor (VCU) Wholesaler of over $100,000,000 of TICs Wholesaler of over $100,000,000 of DSTs Chair, Audit Committee, NYSE REIT (FPO) Chair, Investment Committee, NYSE REIT (FPO) Chair, Governance Committee, NYSE REIT (FPO)
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