Hedge Fund Expert Discusses Fiduciary Duty of Manager After Brain Injury

Joseph O'Neill

Written by
— Updated on November 15, 2016

Fiduciary DutyThis case involves a hedge fund manager who suffered a traumatic brain injury while skiing. While her recovery after the accident was fast and seemingly complete, there were still questions about her ability to function at her previous level. These questions centered around the fiduciary duty of her firm to her clients, many of who believed that she was no longer capable of managing the day to day operations of her firm effectively. It was alleged that the firm was in breach of its fiduciary duty by allowing her to return to work following her injury.

Question(s) For Expert Witness

  • 1. Please explain why you're qualified to serve as an expert reviewer of this matter.
  • 2. Have you ever published or lectured on the subject of fiduciary duty and responsibility of a hedge fund manager to inform employers and/or investors of past injuries, or others, which may inhibit ones ability to function at full capacity?

Expert Witness Response E-036265

I am the co-national practice leader of A&M active management investment business. I am also the Chief Compliance Office and Chief Investment Officer of an SEC registered RIA. We are currently in the process of establishing a Broker-Dealer. I currently hold a series 7, 63 and 65. I am a member of the CFA organization and have been since 1990. I have organized and supervised open architecture platforms for a major Investment Advisors that managed over 55 billion dollars of AUM. I have been the managing partner of a hedge fund of funds and selected and monitored over 30 outside hedge fund managers. I have also worked for and with several companies and consultants that used extensive open architecture, multiple manager platforms to provide comprehensive investment management services to ultra-high net worth families, foundations, endowments and institutional clients. Before entering the investment business, I was an attorney specializing in corporate, transactional and securities law. 

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