Capital market expert witnesses analyze securities offerings, trading practices, and market structure to clarify complex financial issues. Drawn from backgrounds in investment banking, asset management, exchanges, and regulatory compliance, they assess valuation methods, disclosure standards, risk controls, and industry customs in public and private capital markets.
Securities Accounting & Compliance Expert Witness
Securities Accounting & Compliance Expert Witness
- Review Fee
- $350/hr
- Deposition Fee
- $550/hr
This expert has over 25 years of experience in the securities industry as an accounting and compliance specialist. Industry experience with broker-dealers, registered investment advisers, hedge funds,regulation, compliance, accounting, and information technology. He has been FINRA registered since 1984 and is also a licensed Financial and Operations Principal. He currently serves as Principal for a financial compliance services firm.
Principal, Financial compliance services firm
Master of Business Administration (MBA), Garvin School of International Management
Woodland Hills,
California