FINRA Expert Witnesses

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FINRA expert witnesses practice in a variety of fields, including securities regulation, financial services, investment fraud, arbitration, and compliance. Some of the most common specialties among FINRA expert witnesses also include broker-dealer disputes, market manipulation, insider trading, and suitability analysis. They can opine on the effects of regulatory violations, investor losses, unethical business practices, breaches of fiduciary duty, and securities litigation.

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Investment Banking and Leveraged Finance Expert Witness | ConnecticutView profile

E-671115

Investment Banking and Leveraged Finance Expert Witness | Connecticut

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Connecticut

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...

Securities & FINRA Expert Witness | MaineView profile

E-012863

Securities & FINRA Expert Witness | Maine

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Maine

This highly qualified expert is a licensed FINRA arbitrator with years of experience in trusts, treasuries and financial planning. He received his BS degree from Florida Southern College and completed his training in securities at FINRA, Wharton and the New York Institute of Finance. He is a former branch manager at Merrill Lynch and the former manager of the New York City District Professional...

FINRA / Securities Litigation Consultant Expert Witness | MinnesotaView profile

E-008366

FINRA / Securities Litigation Consultant Expert Witness | Minnesota

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Minnesota

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...

FINRA  Financial Disputes  Data Analysis  Statistical Analysis Expert Witness | ConnecticutView profile

E-075055

FINRA Financial Disputes Data Analysis Statistical Analysis Expert Witness | Connecticut

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Connecticut

This highly qualified expert has extensive experience in finance having worked with asset managers, investment banks, and hedge funds. He holds a BS and MA in economics from Clemson University and a PhD in finance from the University of Tennessee. He is an active member of numerous professional societies including the Financial Management Association and the American Finance Association. In...

Fiduciary Duty & Retirement Plans Expert Witness | New YorkView profile

E-550785

Fiduciary Duty & Retirement Plans Expert Witness | New York

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New York

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...

Retail Financial Services Expert Witness | South CarolinaView profile

E-606912

Retail Financial Services Expert Witness | South Carolina

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South Carolina

This highly qualified expert is a senior executive and investment professional with 30 years of experience in his field. After earning his BA in finance from the University of Notre Dame, he went on to complete his MBA in international management at the University of Texas at Dallas. He is a chartered financial analyst and is certified in FINRA Series 7, 24, 53, 63 and 65. This expert has served...

FINRA Expert Witness FAQs

What is a FINRA expert witness?

A FINRA expert witness is a professional with extensive knowledge and experience in the Financial Industry Regulatory Authority's rules and regulations. They provide testimony in legal cases involving securities and financial disputes.

What types of cases does a FINRA expert witness handle?

A FINRA expert witness handles cases related to securities fraud, broker misconduct, investment disputes, regulatory compliance, and other financial industry-related issues.

How can a FINRA expert witness assist in my case?

A FINRA expert witness can analyze complex financial data, assess compliance with FINRA regulations, provide insight on industry standards, and offer credible testimony to support your case.

Are there subspecialties within the field of FINRA expert witnesses?

Yes, some FINRA experts specialize in areas like securities arbitration, broker-dealer regulation, investment suitability, or market manipulation among others.

Why is it important to hire a FINRA expert witness with specific experience in securities arbitration?

Securities arbitration is a complex process with its own set of rules. An expert with specific experience can provide valuable insights and strengthen your position in such cases.

How does Expert Institute select its FINRA expert witnesses?

Expert Institute offers a personalized approach to help you find the highest quality experts. We source actively-practicing professionals who match all your requirements for specialty areas, work experience, litigation history, fee range, certifications, location, and more.

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