Fiduciary Duty Expert Witnesses

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 experienced corporate finance attorney retired after a 44-year career with Bell, Boyd & Lloyd in Chicago, where he practiced in securities, corporate governance, and related areas. For 13 years, he was the Chair of his firm's corporate and securities group, working with many large U.S. Corporations. He recently taught an M&A course at Northwestern University and currently acts as an independent consultant and a FINRA arbitrator.

This expert has 13 years of experience in residential appraising in most MD counties. She is a Certified Residential Real Estate Appraiser, working with both lenders and individual clients to provide prompt and accurate real estate valuations for the purpose of purchase, refinance, estate and financial planning, tax appeals and other purposes. Prior to her position as Lead Appraiser/ Owner of a real estate appraisal firm, she was Appraiser at RT Appraiser. She is also a licensed Realtor.

This expert has nearly 20 years of legal and trust administration experience. She gained her JD from Willamette College of Law and is licensed to practice in Wyoming. She served as an attorney at James H. Jordan PC, an attorney for Austin Law Office, and an assistant vice president and trust administrator in the investment management and trust division at ANB Bank.Currently she is an attorney focusing on probate and estate administration issues.

This qualified expert received his BA in business administration from Saint Michael's College and has over 35 years of experience in retail wealth management. He is a certified trust financial advisor, a FINRA arbitrator, and a chartered advisor in philanthropy. He has served as a director for prestigious companies such as JPMogran Securities, RBC Wealth Management, and UBS Financial Services with over 17 years of experience in broker dealer field leadership positions.

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 highly qualified expert has years of experience in financial forensics and fraud examination. He received his BA in political science from the University of California Riverside and his MBA from the Graziadio School of Business and Management at Pepperdine University. He is certified as a valuation analyst and a fraud examiner. This expert has held several leadership positions in his field, including serving as a director for a top-25 national accounting and consulting firm and a principal in the litigation consulting and forensic accounting services practice group for one of the largest accounting and consulting firms in the United States. He has served as an adjunct professor in economics, authored several published articles, and presented at the Association of Certified Fraud Examiner's Global Fraud Conference. Currently, this expert is a partner at a litigation consulting and financial forensics firm in California.

This expert is highly qualified in personal and small business finance. He earned his BS in computer science from the University of Southern Mississippi. He then received his MS in personal financial planning from the college for financial planning and his DBA in marketing from Keiser University. He is a certified financial planner and a member of the Financial Planning Association. He has been a financial advisor and an investment services advisor, as well as the investment services director for Community First Credit Union. He also served as the president of A1A Wealth Management, an independent financial planning, wealth management, and small business consulting firm. He was the curriculum chairman for information technology at Robert Morris University and was a part of online faculty for multiple universities teaching personal finance courses. Currently, this expert is a finance professor for an online program for a Florida university and the resident financial planner for a financial wellness company based in Florida.

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 expert has nearly 15 years of experience in the financial services field, with his work involving financial planning, security valuation, portfolio management, insurance planning, and investment selection and transactions. He received his BS in psychology from the University of Michigan before earning his BBA from Michigan State University and recently went back to school to earn his MBA from the University of Michigan. He has formerly served as a financial advisor and the associate vice president of the KSG Group for Morgan Stanley before serving as the vice president for Fisher Investments. Currently, this expert is the owner of a small business consultancy in Michigan.

This expert has extensive experience in mergers, acquisitions, and corporate governance. He earned his BSBA in business from the University of Tulsa, his MBA with a concentration is finance from Northwestern University and his PhD in business administration from the Oklahoma State University. He has served as a strategic advisor at numerous locations including Goldman Sachs & Co, Citigroup, and Credit Suisse. He was also a managing director and the head of investment banking of Southwest United States with Wells Fargo Securities. This expert currently serves as the associate dean and a professor of finance at a university in Texas and as the managing director of the corporate governance branch at a global management research institution.

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.

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

This expert has over 25 years of experience in the securities industry as an accounting and compliance specialist. Industry experience with broker-dealers, registered investment advisers, hedge funds,regulation, compliance, accounting, and information technology. He has been FINRA registered since 1984 and is also a licensed Financial and Operations Principal. He currently serves as Principal for a financial compliance services firm.

This highly qualified attorney earned her BS in Business Administration from Georgetown University and her JD from the University of Chicago Law School. She writes about and researches issues related to corporate compliance, drawing on scholarship from the areas of professional ethics, corporate governance, employment law, and corporate social responsibility. She is currently an associate professor of law at a top midwestern law school. Before joining the law school faculty, this expert was a clerk on the U.S. Court of Appeals for the Fifth Circuit and an attorney at Gibson Dunn in Washington, D.C.

This expert has over 40 years of experience in every area of investment banking, including Mergers and Acquisitions (including LBOS and recapitalizations), Fairness Opinions, Adequacy Opinions, Solvency Opinions, Valuations, Damage Issues, Fiduciary Issues, Advice to Special Committees of Boards and Trustees, Due Diligence and Disclosure Issues, Financing of debt and equity both public and private, Leasing and Real Estate Financing, and many other areas. He graduated with honors in economics from Princeton University, followed by graduating at the top of his class in the MBA program at New York University (NYU) Business School. Until 1990, this expert served as an investment banker at Dillon, Read & Co. Inc., one of the most prominent American investment banks of the twentieth Century. Joining the firm as an associate, he became a Vice-President, then Senior Vice-President, and was elected Managing Director in 1982. In November 1990, he resigned from Dillon, Read & Co. Inc. to pursue a new business opportunity. From October 1993 through February 1995, he served as President and CEO of Gulf USA Corporation, shepherding it through a reorganization process, and as a Director of Gulf Resources Pacific in New Zealand, a 90% owned subsidiary and one of the largest commercial real estate companies in New Zealand. He also served as an advisor to certain corporate finance departments of medium-size investment banks, including Gruntal Capital Markets. In addition, he served on certain boards of directors. This expert is currently a Senior Director at a boutique investment bank with both U.S. and foreign clients.

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 expert has more than 20 years of experience as a retail executive (Senior VP, Executive VP, Merchandise VP, and President) with Macy's, Bloomingdales, the U.S. division of a major dutch retailer Steinbach, and more. He has also spent 18 years as a financial advisor, equity analyst, and investment banker. He earned a BS in Retail Management/Marketing from Drexel University and has authored multiple publications in the retail finance space.

This expert is the President and CEO of a philanthropic trust, which she has transformed into one of the largest fundraising and grantmaking institutions in the U.S., raising more than $4 billion in contributions, making more than 90,000 grants to charities in 57 different countries, and crafting partnerships with some of the largest banking institutions in the world. She is a nationally recognized expert on charitable and planned giving having been interviewed about philanthropy and donor-advised funds on CNBC, PBS, NPR, CNN International and Bloomberg TV, and by nearly every national newspaper and major trade publication, including the Wall Street Journal, New York Times, Washington Post, Bloomberg, CBS MarketWatch, Financial Advisor, and Investment News. She has received numerous industry honors, most recently the Association of Fundraising Professionals' 2014 Outstanding Fundraising Professional.