Securities & Investments Expert Witnesses in Illinois

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: Advisers/Advisors, Compliance Program Failures, Conflicts, Fiduciary Duty, Form Adv / Disclosure, Fraud Examination / Cfe, Investment Adviser Compliance, Investment Advisers Act, Marketing Rule / Advertising, Private Funds, Sec, Sec Enforcement Defense, Sec Examinations, and Supervision Failures.

Thomas Selman
  • Securities & Investments
  • Regulatory Consultant
  • 40+ Years Experience
Max Holmes
  • Wall Street Analyst & PM
  • Banks / Hedge Funds / PE
  • NYU Stern Finance Professor
Charles W. Ranson
  • Securities & Investments
  • Trusts & Estates
  • Wealth Management
Gordon Yale, CPA, CFF, CFE
  • Securities Fraud/Ponzi Schemes
  • Prior Investment Banker
  • Experienced Expert
Kerry Campbell, CFA, CFP, AIFA
  • Fiduciary Duty
  • Portfolio Management
  • Trust & Estates
Alan Besnoff, CFP®, ChFC, CLU
  • Securities & Insurance
  • Suitability and Supervision
  • Employment Issues- Form U-5
Alternative Investments
  • CAIA/Certified Fraud Examiner
  • Hedge Fund & VC Malfeasance
  • Derivatives/Trading Practices
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Andrew D Schuster

Advisers Act Expert - Former SEC Exam Manager

ClearView Regulatory Compliance, LLC

WOODRIDGE, Illinois
Securities & Investments - Investment Advisers Act, SEC Examinations, Investment Adviser Compliance, Fiduciary Duty, SEC Enforcement Defense, Fraud Examination / CFE, Private Funds, Policies, Supervision Failures, Compliance Program Failures, Conflicts, Marketing Rule / Advertising, Form ADV / Disclosure, Advisers/Advisors, SEC, Testing, Internal Controls
Andrew Schuster, IACCP®, CSCP-IA, CFE Andrew Schuster is a former U.S. Securities and Exchange Commission (SEC) Exam Manager and Branch Chief with nearly 28 years of SEC regulatory experience. He is a securities compliance expert specializing in investment adviser regulation, investment company compliance, private funds, hedge funds, and SEC examination practices. During his SEC career in the Chicago office, Mr. Schuster progressed from Securities Compliance Examiner to Branch Chief and Exam Manager, where he led examination teams and directed all phases of SEC examinations of registered investment advisers and investment companies. He conducted and supervised more than 500 examinations involving registrants managing more than $1 trillion in assets. Mr. Schuster’s SEC examination experience includes evaluating compliance with the Investment Advisers Act of 1940 and the Investment Company Act of 1940, including compliance programs, policies and procedures, fiduciary obligations, d...

Thomas Selman

  • Securities & Investments
  • Regulatory Consultant
  • 40+ Years Experience
You can also find Securities & Investments Expert Witnesses in:
Alabama, California, Colorado, Connecticut, Florida, Illinois, Kansas, Maryland, Nevada, New Hampshire, New Jersey, New York, Ohio, Ontario, Pennsylvania, and Virginia

Thomas Selman

  • Securities & Investments
  • Regulatory Consultant
  • 40+ Years Experience