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Securities Expert Witnesses

Securities are notes, stocks, treasury stocks, bonds, or certificates or any financial asset that has a monetary value that can be traded. The most common types of securities are equity, like common stocks and debt securities or fixed securities, such as bonds and banknotes. Securities are important to global financial markets. Equity securities are traded on the New York Stock Exchange and other financial exchanges worldwide. Fixed securities are sold by investment firms, banks and other financial institutions. Our securities expert witnesses, speakers, and consultants are scholars and researchers from major universities and professionals who have worked in the securities industry for the U.S. Securities and Exchange Commission and various securities investment firms such as Bear Stearns. They have served as experts or consultants for the New York Stock Exchange, Morgan Stanley Dean Witter, and UBS PaineWebber, Inc., among others. Our securities experts testify regularly in federal and state courts and in arbitrations before the National Association of Securities Dealers (NASD), the New York Stock Exchange (NYSE), the National Futures Association (NFA), and the American Arbitration Association (AAA). In addition, they are prolific authors on such topics as securities regulation, securities fraud, and class-action litigation.

Here are a few of our favorite Securities Expert Witnesses:

Michigan Corporate Governance, Securities Expert #1313

I have 25 years of experience, and specialize in the field of securities law.

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New York Portfolio Management Expert #1831

This sample expert is a founding partner of a comprehensive wealth management company. Currently principal and portfolio manager of the firm.

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Minnesota Securities Expert #3863

I have 20 years of experience and specialize in the field of finance and securities with specific knowledge of securitization and structured finance, corporate finance and accounting. I have published on such topics as corporate finance, securities damages and accounting. I have testified 20 times on topics such as accounting, Ponzi schemes and securitization.

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Nevada Securities Expert #11031

I have 35 years of experience and specialize in the field of investments and securities with specific knowledge in the areas of broker-dealer practices and standards, registered representative training, procedures and standards, and securities and insurance industry products. I have testified 45 times on topics such as securities industry issues.

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Washington D.C. Securities, Finance, Valuation Expert #12652

I have 30 years of experience, and specialize in the field of securities and finance with specific knowledge in the areas of securities fraud, insider trading and derivative securities. I have published on such topics as insider trading, securities market structure and options. I have testified 12 times on topics such as securities fraud, insider trading and damages.

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Your Case Deserves The Best Securities Expert Witnesses

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The right expert witnesses and consulting experts can make your case. That’s why we have spent so many hours over the past quarter century making sure our clients have just the right expert team — whether one expert or many, early-stage advice or expert reports and testimony. Across over 50,000 expert search assignments, we have honed a unique, customized approach to identifying, analyzing and connecting with expert talent so you can focus on winning your case.

Washington D.C. Investment, Finance, Securities Expert #14111

I have 27 years of experience, and specialize in the field of regulatory compliance for securities firms with specific knowledge in the areas of Securities and Exchange Commission and the Financial Industry Regulatory Authority compliance programs, regulatory examinations and investigative litigation support. I have published on such topics as Securities and Exchange Commission independent consultant reports, expert witness reports and declarations and affidavits. I have testified on Securities and Exchange Commission and the Financial Industry Regulatory Authority supervision, mutual funds and wrongful termination, supervision and suitability.

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California Securities, Corporate Expert #14542

I have 15 years of experience, and specialize in the field of corporate and securities law with specific knowledge in the areas of private offerings, public offerings and SEC reporting. I have published on such topics as The Private Securities Litigation Reform Act, underwriters due diligence obligations and contract law. I have testified 6 times on topics such as securities transactions, corporate transactions and Securities and Exchange Commission (SEC) requirements.

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Oregon Legal Malpractice, Securities Expert #14776

I have 35 years of experience, and specialize in the field of complex business litigation with specific knowledge in the areas of securities, legal malpractice and reasonable fees. I have published on such topics as securities regulation, complex litigation and attorneys fees.

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New York Forensics, Finance, Securities Expert #15747

I have 25 years of experience, and specialize in the field of forensic accounting with specific knowledge in the areas of securities litigation, valuations and accountants’ liability. I have published on such topics as accounting failures and changes in accounting. I have testified on breach of contract and valuation.

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Illinois Securities, Valuation, Damages Expert #21659

I have 13 years of experience, and specialize in the field of economics and finance with specific knowledge in the areas of securities fraud, valuation and labor discrimination. I have testified as an expert witness and has also acted as an independent expert in several mediations.

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Washington D.C. Securities, Valuation, Financing Expert #22255

I have 25 years of experience and specialize in the field of mortgage investments, with specific knowledge of mortgage securities, valuation or pricing and risk controls. I have published on such topics as market accounting impact on system capital.

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Securities, Industry Regulations Expert #25675

I have 40 years of experience, and specialize in the field of securities with specific knowledge in the areas of industry regulations, administration of an investment firm. I have the unique experience in Canada of having held senior positions on both the Self-Regulation and Member sides of the securities business.

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New Jersey Accounting, Securities, Analysis Expert #27304

I have 22 years of experience in the field of financial services, with specific knowledge in the areas of generally accepted accounting principles and statutory accounting, structured finance, and securities analysis. I have published on such topics as insurance accounting, balance sheet risks, and earnings quality.

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Ohio Securities Expert #29680

I have 22 years of experience and specialize in the field of general securities with specific knowledge in the areas of sales, management and supervision. I have published on such topics as financial planning and manager selection. I have testified on broker due diligence, transfer of accounts and RR supervision.

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New York Investments, Securities, Options Expert #31861

I have 20 years of experience, and specialize in the field of securities regulation with specific knowledge in the areas of program trading, derivatives and equities. I have published on such topics as markets, numerous reports on trading violations and referred B/D for disciiplinary action. I was an expert and participant in developing procedures and criteria that became the cornerstone of ISG, Intermarket Surveillance Group’s collaboration and cooperative agreements. This breadth of knowledge serves me well as a FINRA Arbitrator.

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Antitrust, Securities Expert #32835

I have 9 years of experience and specialize in the fields of law and economics, with specific knowledge of antitrust, securities (insider trading) and corporate law. I have published on such topics as corporate and securities law, and antitrust and criminal law.

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Pennsylvania Securities, Banking, Investments Expert #33808

I have 23 years of experience in the field of financial management and brokerage, with specific knowledge in the areas of banking, private client management, and financial markets.

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California Securities Expert #34069

I have 27 years of experience in the field of financial management with specific knowledge in the areas of taxation, insurance and securities. I have published on such topics as elder care, health insurance and estate planning. I have testified on securities laws, insurance law and elder care.

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California Securities, Stocks, Bonds Expert #34756

I have 40 years of experience, and specialize in the field of securities with specific knowledge in the areas of stocks bonds, suitability and management portfolio. I have published on such topics as investing in ETFs, investing in the Nasdaq market and investing with Intellignet ETFs. I have testified 7 times on topics such as suitability, portfolio construction and stocks. Opening an office and managing it; writing books on investing; helping people in the market; supervising others.

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Illinois Damages, Securities, Commodities Expert #38493

I have 13 years of experience, and specialize in the field of financial markets with specific knowledge in the areas of damages, securities fraud and valuation. I have testified on profit and loss, damages and valuation.

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Georgia Securities, Class Action Expert #45586

I have 38 years of experience, and specialize in the field of litigation with specific knowledge in the areas of securities, class actions and medical. I have published on such topics as the legal aspects of starting a business, tax aspects of reincorporation and securities law and the internet. I have testified on criminal conduct. Most all of my cases are referrals.

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Maryland Tax, Securities, Fraud, Planning Expert #47948

I have 24 years of experience, and specialize in the field of estate planning with specific knowledge in the areas of generation skipping taxes, qualified plans and individual retirement account distributions planning and laws and trust planning. I have published on such topics as individual retirement account distribution planning. I have testified on fiduciary issues in trust administration, securities fraud and individual retirement account distribution rules.

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New York Securities, Insurance, Finance Expert #48160

I have 20 years of experience, and specialize in the field of life insurance and life settlements with specific knowledge in the areas of magnetizations, off shore and private placement life insurance. I have published on such topics as asset protection and hedge funds and estate tax.

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California Finance, Securities, Fraud Expert #48476

I have 20 years of experience, and specialize in the field of residential mortgage lending and residential mortgage backed securities with specific knowledge in the areas of residential mortgage lending, residential mortgage backed securities and mortgage loan repurchase or put back demands.

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Illinois Investments, Securities Expert #47421

I have 15 years of experience, and specialize in the field of investments and securities with specific knowledge in the areas of churning, suitability and RIA activities. I have published on such topics as risk management, compliance and supervision. I have testified 10 times on topics such as suitability, fiduciary duty and RIA activities. I have had experience as a consultant, securities professional and regulatory; consequently, I have experience from all arenas of the securities profession. This array of experience is difficult to find in an expert witness. I am able to use this experience to produce an informed and…

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New York Securities, SEC, Investment Expert #50788

I have 9 years of experience and specialize in the field of financial with specific knowledge in the areas of compliance, mutual funds and account payable.

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Georgia Securities Expert #50965

I have 34 years of experience and specialize in the field of financial services with specific knowledge in the areas of securities, annuities and insurance. I have published on such topics as ethics. I have testified 20 times on topics such as Freddie Mac, Fannie Mae, due diligence, supervision, suitability and annuities, and life insurance.

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Put Our Securities Expert Network to Work for You

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Our huge network of experts – eminent university professors and practitioners who have achieved renown as thought leaders in their fields – combined with unparalleled research capabilities puts the experts you need at your disposal when and where you need them.

If you’re a litigator or general counsel, we want to put this network to work for you and your clients. Let us know how we can help by calling us at (202) 908-4500 or filling out the form on this page. We’re so confident you’ll love what we do that unless you retain an expert we present there’s no charge!

GET STARTED FINDING THE RIGHT EXPERT WITNESS

Spend your time working with your experts, not searching for them! We're here to de-stress the process of having a great expert witness team so that it’s easy to have the right experts every time. We'll conduct a quick but thorough search and deliver a roster of top candidates for you to review. There's no charge for the custom search — you pay only the hourly rate if you retain one of our experts.

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Securities Workshops

A few of the courses and workshops led by our Securities experts:

  • American Corporate and Securities Law: The Basics
  • Disclosure 2.0: How Technology is Revolutionizing Securities Law