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 ...
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 ...
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 ...
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 ...
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 ...
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+ ...
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 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 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 ...
This case involves a group of defendants in Ohio who acted as fiduciaries and investment advisors to plaintiffs who assert they were conservative investors who trusted the defendants with most of their assets. The plaintiffs in this case alleged that the…
This case involves alleged securities fraud and breach in fiduciary duty in Oregon. The plaintiff was an investor who was working with a broker. The broker was managing a substantial fund, but had begun to move forward with unauthorized trades into…
This case involves an individual who suffered significant equity losses due to allegedly negligent capital market investment advice provided by the defendant firm. The plaintiff in Nevada initially established various securities accounts with the defendants. The plaintiff also established a discretionary, managed…
This case involves alleged securities fraud and breach in fiduciary duty. The plaintiff is an investor who was working with a broker (an employee of a capital market asset management firm). The broker was managing a substantial fund but started…
This case involves a Plaintiff who suffered significant equity losses while working with a private wealth manager. The Defendant provided investment advice, financial planning and other consulting services to investors. The plaintiff initially established various securities accounts with the defendants.…
This case takes place in New York and involves an individual who bought a variety of financial products through through the defendant. They never bought or invested in an individual stock, and had explicitly instructed the defendant as to their desire…
This case takes place in Wisconsin and involves the loss of commissions due to an indirect purchase of a small independent broker. The plaintiff is a capital market investment firm that deals primarily with public school districts, offering public employee…
This case involves a class of shareholders suing the defendant corporation for securities fraud . They alleged that the defendant, a large national technology company, repeatedly misled the investing public about their main product, a computer-processing chip and violated the…
