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.

Securities Expert Witnesses in New Hampshire

We’ll help you retain an industry-leading Securities expert

New Hampshire securities expert witnesses analyze broker-dealer conduct, investment suitability, and compliance with SEC and FINRA rules. Many are former portfolio managers, compliance officers, forensic accountants, or securities regulators familiar with the state’s small-business capital needs and the Manchester-Boston corridor’s financial services activity. They commonly evaluate misrepresentation, supervision failures, trading records, and damages.

Find an expert witness near you

Securities Experts in New Hampshire

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Financial Services and Insurance CFP Expert Witness
Financial Services and Insurance CFP 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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Find Securities Expert Witnesses in nearby states

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Equity Securities & Trading Expert Witness
Equity Securities & Trading Expert Witness
Review Fee
$750/hr
Deposition Fee
$850/hr
Court Fee
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 trading operations, and has a deep understanding of market structure, electronic trading, and alternative trading systems. Prior to his current position as the managing partner of a securities consulting firm, this expert served as both the chief operating officer and the chief compliance officer for Open Door Securities.
Founder, Financial tech consultancy in NJ
Bachelor of Arts (BA), Saint Lawrence University
Vermont
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FINRA Securities Arbitration Expert Witness
FINRA Securities Arbitration 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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What Can a Securities Expert Witness Opine On?

Securities Offering Practices

Assess IPOs and private placements for disclosure and compliance.

Market Manipulation Analysis

Evaluate trading patterns for spoofing, wash trades, or rigging.

Insider Trading Evaluations

Analyze access to material nonpublic info and trading timing.

Broker-Dealer Conduct Review

Review suitability, churning, and best execution obligations.

Investment Product Complexity

Explain risks of derivatives, structured notes, and options.

Regulatory and Exchange Rules

Interpret SEC, FINRA, and exchange rules in disputed conduct.

FAQs for Securities Expert Witnesses in New Hampshire

What professional licenses and registrations do securities expert witnesses in New Hampshire typically hold?

Many hold FINRA registrations (Series 7/63/65/66) and may be CFA or CPA; some are registered investment adviser representatives with firms overseen by the New Hampshire Bureau of Securities Regulation.

What industry experience is common for securities expert witnesses based in New Hampshire?

Common backgrounds include broker-dealer compliance, investment advisory work, portfolio management, and securities operations, often tied to Manchester or Portsmouth area firms and clients across New England.

Are New Hampshire securities expert witnesses often affiliated with regional financial institutions or investment firms?

Some are affiliated with New Hampshire branches of regional banks, RIAs, or broker-dealers serving Manchester, Nashua, and the Seacoast; others consult independently from the Boston metro area.

How does the New Hampshire regulatory environment shape the background of securities expert witnesses?

Experience often reflects interaction with the New Hampshire Bureau of Securities Regulation and FINRA/SEC rules, so experts may have compliance, enforcement-response, or supervisory (principal) experience.

Are there securities expert witnesses in New Hampshire with academic or research appointments in finance or economics?

Yes, some have taught or conducted research in finance or economics at the University of New Hampshire or Dartmouth College, or have prior academic publications relevant to securities issues.

How available are qualified securities expert witnesses who regularly practice in New Hampshire?

Qualified experts are available, but the in-state pool can be smaller than Boston; parties often retain New Hampshire-based professionals or nearby New England experts who regularly work in Concord courts.