FINRA Expert Witnesses in Rhode Island

This highly qualified expert has over 30 years of experience in the field of risk management and insurance and asset management. He earned his BA in the history of science and his MBA in finance from the University of Chicago Graduate School of Business. He is very active in his field as a member of several professional societies including the Professional Risk Managers International Association, the Buy Side Risk Managers Group, the Investment Company Institute, and the Boston Security Analysts Society. In addition, this expert is a Chartered Financial Analyst (CFA) with over 10 publications. He formerly held many roles including portfolio manager of derivates & mortgage-backed securities at Allstate Life Insurance, head of derivative strategy and head of alternative investments at Putnam Investments, and board member of TIAA-CREF Life Insurance Company. This expert is currently a risk manager at a federal reserve bank in Massachusetts.

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.

This expert has over 15 years of experience in financial services, consulting with Financial Advisors, Registered Investment Advisors, and Broker-Dealers.

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.