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FINRA Expert Witnesses

Investment Banking and Leveraged Finance Headshot
E-671115

Investment Banking and Leveraged Finance Expert

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 ...

Retail Financial Services Headshot
E-606912

Retail Financial Services Expert

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 in many leadership roles throughout his career, including as the ...

Fiduciary Duty & Retirement Plans Headshot
E-550785

Fiduciary Duty & Retirement Plans Expert

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 ...

FINRA, Financial Disputes, Data Analysis, Statistical Analysis Headshot
E-075055

FINRA, Financial Disputes, Data Analysis, Statistical Analysis Expert

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 addition, he is a frequently invited lecturer in the finance space and is the ...

FINRA / Securities Litigation Consultant Headshot
E-008366

FINRA / Securities Litigation Consultant Expert

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 & FINRA Headshot
E-012863

Securities & FINRA Expert

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 Resource Center, which is comprised of over 40 specialists serving 700+ ...

Financial Wealth Management Headshot
E-288137

Financial Wealth Management Expert

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....

M&A, Control Contests, Corporate, Securities Headshot
E-086167

M&A, Control Contests, Corporate, Securities Expert

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....

Real Estate Valuation Headshot
E-079384

Real Estate Valuation Expert

This expert has more than 25 years of real estate experience in domestic and international markets. She advises public and private companies, lenders, hedge funds and secured and unsecured creditors on complex real estate issues. Specific areas of professional expertise include dispute resolution, the valuation of loan and REIT portfolios, strategic planning for the acquisition and disposition of major real estate assets, the marketability and feasibility of large scale ...

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FINRA Expert Witness Case Studies

Investment Broker Is Accused Of FINRA Violations

Investment Broker Is Accused Of FINRA Violations

Jan 29 2019
This defamation case involves a broker who had a non-discretionary account with two clients. The clients invested approximately $500,000 into the account and lost $100,000. As a result, the clients created a website about the broker with numerous allegations about…
Asset Broker Accused of Neglected Fiduciary Duties

Asset Broker Accused of Neglected Fiduciary Duties

Jan 9 2018
This is a securities fraud case where a broker, the employee of a large asset management firm in Illinois, was accused of breaching his fiduciary duty. While soliciting loans from the firm’s clients and claiming personal financial distress, the broker allegedly…
Investment Experts Discuss Bank Fraud

Investment Experts Discuss Bank Fraud

Dec 28 2017
This was a class-action lawsuit under the Securities Exchange Act of 1934 against a major financial firm in West Virginia. It was alleged that the company’s capital market sale of student loans bundled into Synthetic Collateralized Debt Obligations, or synthetic…

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