Hedge fund expert witnesses analyze fund structures, investment strategies, risk models, and fee arrangements to clarify complex financial issues. Drawn from backgrounds in portfolio management, quantitative research, compliance, and fund administration, they evaluate trading records, valuation methods, disclosure practices, and adherence to industry and fiduciary standards.
FINRA Securities Litigation and Compliance Expert Witness
FINRA Securities Litigation and Compliance Expert Witness
- Review Fee
- $500/hr
- Deposition Fee
- $600/hr
This expert is the President and Chief Compliance Officer of a Registered Investment Advisory firm that he established in the 1980s. His credentials are numerous including being an Accredited Investment Fiduciary (AIF), Certified Fraud Examiner (CFE), Life Underwriter Training Council Fellow (LUTCF), and recognized by the Minnesota Supreme Court as a Qualified Neutral under Minnesota Rule 114 of Standard Practice in Mediation and Arbitration. He was formerly a Registered Securities Principal with nationally recognized FINRA Registered Broker Dealers and held numerous securities licenses and registrations. He proudly serves as a FINRA and NFA Dispute Resolution Arbitrator.
FINRA Dispute Resolution Arbitrator, A capital management group in MN
Bloomington,
Minnesota