FINRA Expert Witnesses in Tennessee

This expert has over 39 years of insurance, reinsurance and risk management experience. He has worked as an underwriter, a retail agent, a wholesale broker, a reinsurer, an intermediary, a consultant and as an expert witness. His areas of expertise include all forms of property & casualty insurance, the usual and customary practices of the industry, the standards of care and reasonable expectations of parties within the industry, alternative risk transfer techniques and methods including, self-insurance and captive insurance companies; reinsurance, marketing distribution systems within the industry and the roles, responsibilities and functionality of agents, brokers, underwriters, managing general agents, underwriting managers, reinsurers, and the interplay and relationship between all of them.

This economics Ph.D. has a broad financial background spanning mortgage-backed securities, asset-backed securities, and structured products. After earning his master's and doctorate from the University of Florida, he became a tenured Associate Professor at the University of South Carolina. The expert eventually began a successful career in finance and served in several senior positions, including as global head of MBS research at two major investment banks, CS First Boston and UBS. He also worked in two senior trading roles focused on whole loans and securities, managing portfolios upwards of $90 billion in those positions. More recently, he was the Product Manager for an MBS and ABS valuation and risk analytics consulting firm. The expert recently started his own business as an independent consultant. In this capacity he has served as an expert witness in cases involving FINRA, the SEC, and the U.S. District Court.

This expert is an associate professor in the Personal Financial Planning Department at a prominent Midwestern university. Completing her undergraduate studies in International Relations in China, she received her doctoral degree in Family Resource Management from The Ohio State University. Her research interests focus on helping individuals make informed financial decisions, specifically, decisions related to their portfolio management, financial risk-taking, as well as intertemporal consumption, savings and debt management. She received the best paper award from the CFP Board, AARP, and American Association of Family & Consumer Sciences. She serves as an associate editor for the Family and Consumer Sciences Research Journal and as a member on the editorial board of the Journal of Financial Counseling and Planning, the Journal of Personal Finance and the Journal of Asian Families and as a reviewer for a number of academic journals and conferences. She is frequently invited to speak at national academic and corporate conferences. She regularly works with the China Center for Financial Research at a university in Beijing and played a pivotal role in the design and execution of their first national survey of Chinese Consumer Finance and Investor Education.

This logistics professional currently works for a freight services company in Arkansas. He entered the industry in 2003 and has spent 12 years dealing with customers, carriers, and insurance companies. The expert is a Certified Transportation Broker by the Transportation Intermediaries Association. He is also on the Board of Directors of the Transportation & Logistics Council.

This expert was a financial advisor for seven years and a supervisor of financial advisors for twelve years. As a supervisor he served as a sales manager, office manager, regional sales manager, and complex director. He managed over a thousand different advisors in different capacities over his time at Merrill Lynch. He held series 7, 9, 10, 63, 65 and insurance licenses in his capacity as supervisor. During his career he has testified in courtroom, deposition, arbitration, and mediation situations. He has dealt with regulators, attorneys, clients, judges, mediators, and advisors in all of these situations. This expert has a BA in Political Science and an MBA with a marketing concentration, both from Vanderbilt University.

This expert has over 40 years full-time real estate appraising experience involving all types of properties. He is a licensed Real Estate Broker in KS and MO and a licensed Gneral Real Propert Appraiser in KS, MO, and CO. Additionally, he is an instructor for CLE appraisal and real estate classes in 7 states. He recently conducted a CLE course titled "Handling Eminent Domain Cases in Missouri and Kansas". He is currently the owner and principal appraiser at an appraisal consultancy based in Kansas City, MO.

This highly qualified expert has been involved in the construction services industry for over 30 years. He is a licensed general contractor and real estate broker in North Carolina. He has previously led community engagement and business development efforts for Kellog Brown and Root’s commercial construction unit and has extensive experience in construction supply-chain operations and government / corporate diverse and small business inclusion programs. Additionally, he has worked as a director of two higher education business development programs focused on small business diversity. Currently, he is a consultant for and the former Vice President of Business Development and Community Affairs for a construction services company in North Carolina.

This highly qualified expert has over 32 years of experience in intangibles consultative sales and client-facing compliance. He earned his BA in economics from the Virginia Military Institute and his MBA from the College of William & Mary. He is a certified financial planner and business intermediary as well as a chartered life underwriter and financial consultant. This expert formerly served as a financial advisor for Ameriprise Financial and as an independent broker/advisor. He currently works as an author, having recently published a book on successful financial planning.

This expert has demonstrated experience in the fields of economics, telecommunications, and estate planning. He earned both his BA in management and business and his MA in economics from North Carolina State University. He is a certified estate advisor and a registered financial consultant. Additionally, this expert holds licenses for life, health, and accident insurance, long term care insurance, and Medigap supplemental insurance. He is active in his field as a member of several organizations including the International Association of Registered Financial Consultants and the National Association of Financial and Estate Planners. He previously served as a supervising field engineer for General Telephone Corporation, a staff engineer for Concord Telephone Company, the director of marketing and strategic planning for Tel-Amco, an investment broker for A.G. Edwards & Sons, general manager for GVNW, and executive director of marketing for Madison River Communications. For over 20 years, this expert has served as the president of a marketing and telecommunications consultancy in North Carolina.

This highly qualified expert has over 20 years of experience in financial planning and advising. He received his BS from Virginia Tech. Currently, this expert is a certified financial planner and an accredited investment fiduciary. This expert has completed the series 65, series 7, and series 63 through the National Association of Securities Dealers. Previously, this expert served as a financial advisor for The Guardian, John Hancock, Morgan Stanley, and Merrill Lynch. Today, he is the CEO of a family financial planning office in Georgia. Additionally, this expert has authored a financial planning book.