FINRA Expert Witnesses in Massachusetts

This expert has over 20 years of experience in advising asset managers of all sizes and complexities across fund and investment adviser formation, securities, corporate, regulatory, fund marketing, fund operations, investor due diligence, compliance and best practices front to back office infrastructure including legal negotiations and operational set up with various trading counter-parties and service providers such as fund administrators, prime brokers. He received his B.S. and Master's Degrees at Pace University in addition to a J.D. from Quinnipiac University. His extensive experience in fund management includes working at both Nikko Alternative Asset Management and CooperNeff Advisors where he was part of the executive business management team and Chief Legal Officer with roles and responsibilities across multi-strategy platforms and the due diligence of managers and related service providers. He also co-founded Anchor Risk Advisors, a hedge fund trading in catastrophic weather linked fixed income instruments, where he managed enterprise matters including funds and managed accounts. He currently serves as Managing Partner for a legal and business development consulting firm for asset management firms.

This expert has over 30 years of experiences with securities, investments, and insurance at the financial advisor, supervisory, and managing principal level. He has his producer's license in life, accident, and health insurance, is a certified financial planner, a chartered financial consultant, and a chartered life underwriter. He is also a member of numerous prestigious organizations in the insurance and financial services fields. This expert is is a former agency manager at John Hancock Financial Services, former managing principal at Waddell and Reed and a former Adjunct Professor in the department of finance at the University of Connecticut. He is currently an adjunct professor in financial management at a top university and the founder/consultant at a securities, insurance, and financial services expert witness and litigation consulting firm.

This experienced finance professional has background in portfolio and trust management, mutual funds, and hedge funds over a 45-year career. He earned his B.S. from the University of Pennsylvania and his M.B.A. in Finance from Harvard University. He holds several industry credentials; the expert is a Registered Investment Advisor, a Chartered Financial Analyst, and a FINRA Arbitrator. The expert began his career at J.P. Morgan before joining Citibank, where he eventually served as the Chief Investment Officer of the Global Private Bank overseeing a total of $20 billion in assets. In addition, he spent 11 years as the Chief Investment Officer of IBJ Schroder Bank and Trust, supervising 20 investment professionals serving private clients in the U.S. and Asia. The expert now supports attorneys, individuals, banks, investment advisors, broker-dealers, corporations, and the SEC in investment matters.

This expert is an investment professional with over 25 years of experience in the securities industry, including investment management responsibility, broker-dealer management, due diligence oversight for sophisticated products, financial analysis, and high net worth sales expertise. A graduate of Dartmouth College and the Kellogg Graduate School of Management at Northwestern University, he has worked in the financial services and investment advisory business for over twenty years. Beginning his professional career in 1984 as an Analyst with First Chicago, he was also associated with Wellington Management in Boston, where he served as a Vice President and worked in pension fund asset management. He has also worked as a private banker at Fleet Private Clients Group, where he assisted high net worth clients establish customized investment portfolios. In addition, this expert worked for over ten years as an executive at Chubb Securities and Chubb Life Insurance Company, where he managed institutional accounts and oversaw the direct investment in venture capital, real estate, and bonds and equities. Currently, this expert is the owner of a registered investment advisory firm, specializing in customized portfolio management for individuals and companies.

Since graduating from Northwestern Law School, this expert has worked as a corporate attorney for over 12 years. He has extensive experience advising as to SEC-registered and exempt transactions, including initial public offerings, common and preferred equity offerings and debt offerings. Additionally, he has worked in large, prestigious law firms such as Sidley Austin and also worked at the U.S. Treasury Department on the Troubled Asset Relief Program. He currently is the founder of a law firm in New York City that specializes in offering corporate and securities law assistance to middle-market businesses and venture capital/private equity funds, frequently advising as to registration, disclosure, compliance and operational issues. The firm also prepares and negotiates a variety of contracts for its clients, from asset purchase agreements to non-disclosure agreements to real estate contracts of sale. He is an adjunct professor at a NJ Law School, where he teaches various corporate law-related courses, has had articles published in the ABA Business Law Today journal, and regularly teaches continuing legal education classes (CLE).

This expert specializes in structured finance, derivatives, securities and finance matters. His experience includes cash, synthetic and hybrid collateralized debt obligations (CDOs), asset-backed securities (ABS) of various types, structured investment vehicles (SIVs), collateralized loan obligations (CLOs), mortgage-backed securities (MBS), credit default swaps (CDS), interest rate swaps, credit-linked notes (CLNs), repurchase ("repo") agreements and securities fraud. As a transactional attorney he has been an Associate, Special Counsel or Partner at several of the leading transactional law firms in the United States, including Shearman & Sterling; Mayer, Brown & Platt; and Cadwalader, Wickersham & Taft. As an expert witness and/or consultant, he has worked with many of the leading litigation firms, and leading litigation departments of full-service firms, in the country, including Berger Montague; Chapman and Cutler; Kirby McInerney; Labaton Sucharow; Patterson Belknap; Robbins Geller; Scott + Scott; and Williams & Connolly.

This highly-qualified expert has 25 years of experience in the field of finance and securities. He received his BA in economics and philosophy from Elon College before earning his MA in economics from the New School for Social Research, where he also completed PhD-level coursework. This expert is a FINRA/Wharton certified regulatory and compliance professional and FINRA arbitrator, and holds a Series 65 securities license. He is active in his field as a member of the Securities Industry and Financial Markets Association. He has formerly as an administrative assistant, financial consultant, and vice president of Merrill Lynch & Co., as well as the managing member of both Duval Asset Management and Heterodox Capital Partners. Currently, this expert is the CEO and CIO of an investment advisory firm in New York, as well as the managing partner of a securities litigation consultancy.

This highly-qualified expert has extensive experience in the finance industry, with his work focusing on ERISA, fiduciary duty, FINRA and suitability, retirement plans, financial technology, and wealth management. He earned his BS in economics with concentrations in international business and money, banking, and finance from the State University of New York at Fredonia. He is a chartered retirement planning coordinator and has previously held Series 7, 31, 63, and 65 licenses. He is active in his field as a frequently published author of finance articles. He has formerly served as a private banker at Bank Leumi USA, the director of the institutional brokerage group at Fidelity Investments/NFS, the vice president of personal financial services at Chase Bank, a financial advisor for global private clients for Merrill Lynch, vice president for JP Morgan Securities, and the vice president of Clark Dodge Asset Management. Currently, this expert serves as the managing member and project manager for a fiduciary consulting firm in New York.

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.

This highly-qualified expert has nearly 30 years of experience in the field of investment banking and leveraged finance, specializing in arranging debt financing primarily for leveraged buyouts, mergers and acquisitions, refinancings, recapitalizations and rescue financings. He earned his BS in computer science from Columbia University and his MBA in finance and international business from the University of Chicago, and holds FINRA Series 79, 82, and 63 licenses. He began his career as an associate in the asset-based finance group at Citicorp Securities. Since then, he he served as the managing director at Credit Suisse Securities, Carolina Financial Securities, and ASGARD Securities, where he was also the co-head of the advisory group. Currently, this expert is the managing partner of a middle market investment banking firm in New York.