Investment Adviser Expert Witnesses

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Investment adviser expert witnesses practice in a variety of fields, including financial planning, securities trading, portfolio management, risk assessment, and retirement planning. Some of the most common specialties for these expert witnesses also include fiduciary duty, asset allocation, investment strategy, and compliance with financial regulations. They have provided opinions on the effects of market volatility, investment fraud, suitability of investments, breach of fiduciary duty, and regulatory compliance issues.

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Financial Services Expert Witness | MassachusettsView profile

E-007837

Financial Services Expert Witness | Massachusetts

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Massachusetts

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

Alternative Investment Management Expert Witness | ConnecticutView profile

E-135998

Alternative Investment Management Expert Witness | Connecticut

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Connecticut

This C-level financial executive has 35+ years of experience in investment banking, capital markets, private equity, and business development. He is an expert in the global alternative investment industry with a BS from Boston University, an MBA from Stern at NYU, and the Level I CAIA certification. He is also a regular speaker on the international alternative investments conference circuit and...

Investment Management Expert Witness | MassachusettsView profile

E-136268

Investment Management Expert Witness | Massachusetts

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Massachusetts

This expert has over 30 years of experience in investment management. He holds a BA in economics from Brandeis University and an MBA in finance and accounting from the University of California, Berkeley. Throughout his career managing portfolios and funds, he has bought and sold options and traded stocks, ETFs and mutual funds. As the former Managing Director and Portfolio Manager at Charles...

Mergers & Acquisitions and Bankruptcy & Insolvency Expert Witness | New YorkView profile

E-091175

Mergers & Acquisitions and Bankruptcy & Insolvency Expert Witness | New York

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New York

Education: AB, Economics, Lafayette College; M.S., Accountancy, NYU Stern; A.P.C., Investment Management, NYU Stern Professional certifications: CPA; Chartered Financial Analyst (CFA); AICPA-Accredited, Business Valuation (ABV); AICPA-Certified in Financial Forensics (CFF); Certified Fraud Examiner (CFE): Certified Management Accountant (CMA); Certified Insolvency & Restructuring Advisor...

Investment Risk Management Expert Witness | MassachusettsView profile

E-622265

Investment Risk Management Expert Witness | Massachusetts

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Massachusetts

This highly qualified expert has over 30 years of experience in the field of risk management and insurance and asset management. He earned his BA in the history of science and his MBA in finance from the University of Chicago Graduate School of Business. He is very active in his field as a member of several professional societies including the Professional Risk Managers International Association,...

Investment Adviser Expert Witness FAQs

What is the role of an investment adviser expert witness?

An investment adviser expert witness provides insight and testimony in legal cases involving financial matters, such as securities fraud, portfolio management, and fiduciary duties.

In what types of cases can an investment adviser expert witness be beneficial?

They are crucial in cases involving financial disputes, securities litigation, broker misconduct, asset allocation, and investment strategy evaluations.

What subspecialties exist within the field of investment advising that an expert witness might focus on?

Subspecialties include retirement planning, wealth management, risk assessment, hedge funds, mutual funds, and tax planning.

How can an investment adviser expert witness help in a case involving breach of fiduciary duty?

The expert can assess whether the adviser acted in the best interest of the client, adhered to industry standards, and properly disclosed all relevant information.

Why is it important for an investment adviser expert witness to have experience with SEC regulations?

Understanding SEC regulations is vital as they set the standards for investment practices. Violations can lead to severe penalties and form the basis of many legal disputes.

How does Expert Institute select its Investment Adviser 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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