Securities Expert Witnesses in Maine

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Securities expert witnesses practice in a variety of fields, including broker-dealer compliance, investment banking, securities fraud, and FINRA arbitration. Some of the most common specialties include suitability, churning, insider trading, market manipulation, and disclosure obligations. They can opine on the effects of regulatory violations, misrepresentations, trading practices, investor losses, and damages.

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Average Securities Expert Witnesses Court Fees

Review Fee

Deposition Fee

Court Fee

Securities Experts in Maine

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  • Securities & FINRA Expert Witness

    Review Fee $400/hr

    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+ brokers and clients. He has reviewed 1000+ daily trade blotters and has been involved in dozens of employment situations.

    Resident Manager & Broker, Merrill Lynch

    Bachelor of Science (BS), Florida Southern College

    Manchester,

    Maine

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  • Financial Services & Insurance Expert Witness

    Review Fee $550/hr
    Deposition Fee $550/hr
    Court Fee $550/hr

    This expert has over 30 years of experiences with securities, investments, and insurance at the financial advisor, supervisory, and managing principal level. He has his producer's license in life, accident, and health insurance, is a certified financial planner, a chartered financial consultant, and a chartered life underwriter. He is also a member of numerous prestigious organizations in the insurance and financial services fields. This expert is is a former agency manager at John Hancock Financial Services, former managing principal at Waddell and Reed and a former Adjunct Professor in the department of finance at the University of Connecticut. He is currently an adjunct professor in financial management at a top university and the founder/consultant at a securities, insurance, and financial services expert witness and litigation consulting firm.

    President, An association for securities experts

    Bachelor of Science (BS), Southern Connecticut State University

    Bedford,

    New Hampshire

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What Can a Securities Expert Witness Opine On?

Initial Public Offering (IPO)

Offering shares to the public for the first time.

Private Placement

Selling securities directly to a select group.

Securities Registration

Filing necessary documents for compliance.

Underwriting

Assessing risk and pricing of securities.

Market Making

Providing liquidity by facilitating trades.

Securities Trading

Buying and selling securities in markets.

FAQs for Securities Expert Witnesses

What is the role of a securities expert witness?

A securities expert witness is a financial specialist who explains complex securities laws and industry standards in court. They assist by reviewing records, analyzing trades, and testifying to clarify disputes.

In what case types can a securities expert witness be advantageous?

A securities expert witness is advantageous in securities fraud, broker misconduct, suitability, churning, misrepresentation, insider trading, FINRA arbitration, and investment loss cases.

How can a securities expert witness strengthen damages analysis?

A securities expert witness strengthens damages analysis by applying industry standards, market data, and valuation models to quantify losses and support credible, defensible claims.

What securities expert witness qualifications best withstand Daubert scrutiny?

Securities expert witness qualifications that best withstand Daubert scrutiny include deep industry experience, relevant licenses, advanced degrees, and a strong, peer‑recognized publication record.

How should counsel evaluate a securities expert witness’s prior regulatory experience?

Counsel should evaluate a securities expert witness’s prior regulatory experience by reviewing past roles, enforcement actions, testimony history, and alignment with current case issues.

What is Expert Institute’s process for selecting securities expert witnesses?

Expert Institute delivers a tailored approach to connect you with top-tier experts. We identify actively practicing professionals who meet your exact criteria for specialty, experience, litigation background, fee structure, credentials, location, and more.

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