Our securities expert witnesses practice in a variety of fields, including securities trading, securities regulation, securities fraud, and securities litigation. Some of the most common securities expert witness specialties also include insider trading, market manipulation, and securities valuation. They have opined on the effects of securities trading misconduct, securities fraud schemes, SEC enforcement actions, financial statement misrepresentations, Ponzi schemes, and securities offerings.
Example cases an attorney might need a securities expert witness for include:
Securities fraud litigation involving allegations of misrepresentations or omissions in financial statements or prospectuses
Securities class action litigation involving allegations of material misstatements or omissions
SEC enforcement actions involving allegations of insider trading, market manipulation, or other securities law violations
Securities arbitration involving disputes over the suitability of investment advice or the execution of trades
Shareholder disputes involving allegations of breach of fiduciary duty or self-dealing by corporate officers or directors
Expert Institute can help an attorney find the perfect securities expert witness for their case by providing access to a network of highly qualified experts who have deep knowledge and experience in securities law and regulation. With a rigorous vetting process and a vast database of experts, Expert Institute can match attorneys with the best possible securities expert witness for their specific case needs.
You can also contact our team to initiate a custom search for the perfect expert.
This highly-qualified securities expert has over 30 years of experience in equity securities and trading. He earned his BA from Saint Lawrence University and holds the Series 7, 9, 10, 24, 55, 63, & 99 licenses. He has held a number of distinguished roles, including the head of global equity sales at ABN AMRO, the CEO and COO of Harborside Securities, and the head of equities at Fidelity Capital Market Services. He has supervised and managed large and diverse sales and ...
This highly-qualified economics and finance expert has over 30 years of experience in his field and specializes in the topics of securities and class-action litigation, corporate finance and governance, and the valuation of public and private companies. He earned his MBA in finance and applied economics from the University of Rochester and his PhD in finance from the University of Washington. He is currently an executive board member of the National Association of ...
This highly-qualified expert has 25 years of experience in the field of finance and securities. He received his BA in economics and philosophy from Elon College before earning his MA in economics from the New School for Social Research, where he also completed PhD-level coursework. This expert is a FINRA/Wharton certified regulatory and compliance professional and FINRA arbitrator, and holds a Series 65 securities license. He is active in his field as a member of the ...
This highly-qualified expert has over 15 years of experience in the field of economics and finance. He received his BA in economics from Washington and Lee University before earning his MA in economics at University of California Davis. He then earned his PhD in finance from Duke University. He is active in his field as an author of several publications and a speaker at multiple conferences. He has formerly served as an assistant professor of finance at the University of ...
This well-credentialed expert specializes in damages analysis, financial economics, and valuations in complex commercial litigation. Experienced across a range of verticals, he has testified on numerous government matters, including the largest government contract dispute in history. He has also worked in many private litigation matters and has valued damages, intellectual property, and lost profits. The expert earned his BS from Georgetown University, as well as an MA ...
This highly qualified expert has provided valuation and corporate finance consulting services since 1987. He is a Chartered Financial Analyst (CFA) and he is a member of several prestigious associations including the Healthcare Financial Management Association and the American Society of Appraisers. He previously worked as the Senior Managing Director of American Appraisal Associates Inc where he was the Chair of Healthcare Industry Practice. Currently, this expert ...
This expert has spent more than three decades in the federal government, filling critical national security roles domestically and on behalf of the U.S. government overseas. He previously served as Assistant Administrator of TSA Security Operations, overseeing 450 airports and a $3.7 billion dollar budget. During his tenure, he successfully led a reorganization of the Office of Security Operations (OSO), improving communication with the field, streamlining HQ field ...
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 seasoned expert witness has 29 years of financial exxperience. He has a broad and deep background in various dimensions of financial services and investment management. He has worked as a senior investment analyst and portfolio manager at Arden Asset Management and Guggenheim Partners, a senior risk officer at Bear Stearns, a convertible arbitrage salesman at Murphy & Durieu, and a credit analyst and loan officer at Manufacturers Hanover. His litigation consulting ...
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 economics Ph.D. has a broad financial background spanning mortgage-backed securities, asset-backed securities, and structured products. After earning his master's and doctorate from the University of Florida, he became a tenured Associate Professor at the University of South Carolina. The expert eventually began a successful career in finance and served in several senior positions, including as global head of MBS research at two major investment banks, CS First ...
A California federal court has dismissed a securities class action related, in part, to the COVID-19 pandemic. Judge R. Gary Klausner ruled that the defendant could not have anticipated the extent of the pandemic at the time of their January…
Decision Diagnostics Corp., a diagnostic testing company, has been named as the defendant in the first coronavirus-related securities lawsuit of the new year. The case may also be the first coronavirus-related lawsuit filed in the wake of an SEC enforcement…
Deutsche Bank recently agreed to pay over $130 million in a settlement involving two separate claims—that Deutsche Bank paid bribes for overseas business and that it was involved in the manipulation of metal markets. The settlement’s terms also include a…
Video game development company CD Projekt S.A. is facing a shareholder class action lawsuit alleging violations of U.S. securities laws. The lawsuit focuses on claims that investors purchased securities in the company under false and misleading statements about its much…
Hackers were able to access customer account information, including controlling trades and account funds. Given the sensitive information at stake and the delay in addressing the severity of the hack, the company could soon face lawsuits from impacted users and…
In what could become a new COVID-19 litigation strategy, a shareholder class action lawsuit was filed recently against a publicly-traded prison and reentry facility management company, Geo Group, claiming violations of the Securities and Exchange Act of 1934. The shareholder…
A recent outbreak of E coli and norovirus left over 500 Chipotle customers ill across 12 states. Â In August, 100 patrons and employees of one Chipotle restaurant in California became ill. Similar events occurred in Minnesota, Oregon, Washington, and Massachusetts.…
Case: In re Puda Coal Securities, et al. Litigation, No. 11–cv–2598 (KBF), U.S. District Court, Southern District of New York; June 26, 2014 Background: In September 2009 Puda Coal Inc.’s chairman, Ming Zhao, and his brother, Yao Zhao, arranged to…
Case: Patricia M. Keppler v. RBS Citizens, No 12–10768–FDS, U.S. District Court, Massachusetts; June 24, 2014 Background: Patricia Keppler asserts that she was a victim of a “romance fraud” involving one or more people in Ghana. They persuaded her to…
Court: United States District Court for the District of Arizona Jurisdiction: Federal Case Name: Smilovits v. First Solar Inc. Citation: 2019 U.S. Dist. LEXIS 221424 The plaintiffs claimed that once the company revealed the product’s flaws to the public, the…
Court: United States District Court for the Southern District of New York Jurisdiction: Federal Case Name: McBeth v. Porges Citation: 2018 U.S. Dist. LEXIS 195094 In this financial dispute case, the defendant hedge fund challenged the qualifications of the plaintiff’s…
Court: United States District Court for the Southern District of Florida Jurisdiction: Federal Case Name: Remington v. Newbridge Sec. Corp. Citation: 2014 U.S. Dist. LEXIS 15867 In this financial dispute case, a FINRA expert’s testimony is challenged for allegedly lacking…
Court: United States District Court for the District of Minnesota Jurisdiction: Federal Case Name: City of Farmington Hills Emps. Ret. Sys. v. Wells Fargo Bank Citation: N.A., 979 F. Supp. 2d 981 Facts A municipal employee retirement system, along with…
Court: United States District Court for the Southern District of Florida Jurisdiction: Federal Case Name: UBS Fin. Servs. v. Bounty Gain Enters., Inc. Citation: 2017 U.S. Dist. LEXIS 57502 Because FINRA regulations are not law, but rather the rules of…
Court: United States Bankruptcy Court for the Middle District of Florida, Orlando Division Jurisdiction: Federal Case Name: Sec. Investor Prot. Corp. v. N. Am. Clearing, Inc. Citation: 2012 Bankr. LEXIS 2041 Facts The plaintiff, a trustee of the debtor, a…
Court: United States Court of Appeals for the Fifth Circuit Jurisdiction:Â Federal Case Name: SEC v. Life Partners Holdings, Inc. Citation: 854 F.3d 765 Facts The Securities and Exchange Commission (SEC) brought this enforcement action against defendant Life Partners Holdings,…
Court: United States District Court for the Eastern District of Wisconsin Jurisdiction: Federal Case Name: Merrill v. Briggs & Stratton Corp. Citation: 2015 U.S. Dist. LEXIS 117677 In this class action lawsuit involving alleged violations of the Labor Management Relations…
This case involves a bank in Chicago that served as a trustee to a large insurance company. The trust account contained eligible securities valued at $15 million. The bank subsequently allowed a third-party to deposit ineligible securities into the account…
