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, the Buy Side Risk Managers Group, the Investment Company Institute, and the ...
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 Schwab, he managed a $3.5B of mutual fund assets. In this role he was ...
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 has contributed to various industry publications. Most recently, the expert ...
This expert has over 15 years of experience in financial services, consulting with Financial Advisors, Registered Investment Advisors, and Broker-Dealers....
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 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 ...
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 financial expert has 30+ years of professional experience at leading firms. Currently he is a Prinicipal at R. G. Quintero & Co. and a Managing Director at Chartered Capital Advisers. Previously he, was an investment banker at Bear, Stearns & Co., Inc., an insolvency and restructuring advisor at Zolfo, Cooper & Co, and also started and ran the first valuation practice of KPMG. This expert has performed 1000+ valuations of business, financial ...
This case involves a dispute over a survivors trust. A couple with no children held the trust, the main asset of which was a residential property. When the wife passed away, the husband established a survivors trust. One of the…
This case involves a former investment adviser representative (IAR) of the defendant’s company. The defendant’s company and plaintiff had been working together for over 20 years when the plaintiff informed the defendant that a long-term illness had put her in…
This case involves an investment firm in Washington that decided to litigate against the law firm that formerly represented it. Initially, there was a misunderstanding over the annual fees the capital market investment firm owed to an investment bank, where…
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 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 involves a capital market investment adviser who was working for a financial services company that sold non-traded REITs to clients. The adviser told clients that REITs were safe and conservative investments and that no risk was involved in this kind of investment. The…
This case involves fees paid to an investment adviser by mutual funds. The defendant, a wealth management fund, was a registered investment adviser and advised clients on which mutual funds to invest in. Typically, investment advisers are paid by clients…
