Compliance expert witnesses assess whether corporate policies, internal controls, and operational practices align with regulatory and industry standards. They are often former compliance officers, auditors, risk managers, or regulatory consultants who analyze training programs, reporting systems, monitoring tools, and documentation to identify gaps, failures, or best practices.
Equity Securities & Trading Expert Witness
Equity Securities & Trading Expert Witness
- Review Fee
- $750/hr
- Deposition Fee
- $850/hr
- Court Fee
This highly-qualified securities expert has over 30 years of experience in equity securities and trading. He earned his BA from Saint Lawrence University and holds the Series 7, 9, 10, 24, 55, 63, & 99 licenses. He has held a number of distinguished roles, including the head of global equity sales at ABN AMRO, the CEO and COO of Harborside Securities, and the head of equities at Fidelity Capital Market Services. He has supervised and managed large and diverse sales and trading operations, and has a deep understanding of market structure, electronic trading, and alternative trading systems. Prior to his current position as the managing partner of a securities consulting firm, this expert served as both the chief operating officer and the chief compliance officer for Open Door Securities.
Founder, Financial tech consultancy in NJ
Bachelor of Arts (BA), Saint Lawrence University
Vermont