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Securities Finance

There are 20 expert consultants in this category

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William H. Purcell
Investment Banking Expert Witness
225 Cedar Ridge Road
Bedminster NJ 07921
USA
phone: 908-781-1803 (cell) 908-581-1203
fax: 908-781-1024
William H.
William H. Purcell has over 40 years of experience in Investment Banking, Mergers and Acquisitions, and other Finance Issues. He is currently a Senior Director at Seale & Associates, a boutique investment bank with both U.S. and foreign clients. Seale is focused on Mergers and Acquisitions, Corporate Finance Advisory, and Strategy Consulting. Mr. Purcell's past client coverage includes such companies as Anheuser-Busch, Hoechst Celanese, Volkswagen, and Metropolitan Life to name a few. He was also appointed CEO of a publicly traded company going through bankruptcy proceedings. Additionally, Mr. Purcell has been a director on several corporate boards.

Through his relationship with Seale & Associates, Mr. Purcell has affiliations with professors at The George Washington University Business School and the University of Virginia Business School. He has been an occasional guest lecturer in investment banking and finance at George Washington University and Monmouth University.

Consulting Services Include
  • Mergers and Acquisitions - LBOS and Recapitalizations
  • Fairness Opinions
  • Adequacy Opinions
  • Solvency Opinions
  • Valuations
  • Damage Issues
  • Fiduciary Issues
  • Advice to Special Committees of Boards and Trustees
  • Due Diligence and Disclosure Issues
  • Financing of debt and Equity - Public and Private
  • Leasing and Real Estate Financing
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Norman Katz
Managing Partner
18881 Von Karman, Suite 1175
Irvine CA 92612
USA
phone: 949-263-8700
fax: 949-263-0770
Norman
MCS Associates is a nationally recognized consulting group that has provided financial, operations and regulatory/compliance consulting services nationwide to financial institutions, insurance companies and regulatory agencies as well as real estate and financial services organizations for over 30 years.

Expert Witness and Litigation Consulting are a primary focus of our services. We undertake expert witness assignments throughout the United States and our clients include several hundred leading law firms around the country, working on behalf of both plaintiff and defendant financial institutions, borrowers, depositors, investors, developers, insurance companies and their insured, securities/insurance/real estate brokers/agents, regulators and government agencies, and individuals.

Together with MCS Associates’ specialized resources in banking, financial services and real estate, we also draw on key strategic alliances in insurance, economics, academia and the securities industry to meet a wide range of expert witness needs. Our litigation experts include experienced bankers, lenders, consultants, regulators, managers, brokers & agents in insurance, real estate, and securities; insurance claims and underwriting managers; economists, accountants, appraisers, real estate analysts, and academics.

Areas of Expertise Include:
  • Banking Operations/Administration
  • Check Fraud
  • Lending Policies, Custom and Practice
  • Loan Underwriting & Credit Administration
  • Sub Prime Loan Originations, Underwriting, Securitizations & Servicing
  • Bankruptcy, Foreclosures and Workouts
  • Trust & Fiduciary Issues / Operations
  • Securities Brokerage & Investments
  • Valuations & Damages Analysis
  • Forensic Accounting
  • Employment / Compensation
  • Real Estate Brokerage & Management
  • Title Insurance & Escrow
  • Real Estate Appraisal & Transactions
  • Insurance Industry Custom & Practice
  • Insurance Coverages / Claims Handling
  • Insurance Bad Faith
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    Alistair Hynd
    5 Old Bailey
    London EC4M 7AF
    GBR
    phone: 44-207-0028732
    fax: 44-207-0028895
    Alistair
    Alistair Hynd has over 15 years experience in Corporate Finance. He heads the Project Finance and Financial Modelling Team that functions at Baker Tilly Corporate Finance, LLP (Baker Tilly). Mr. Hynd specialises in Project Finance, PFI, PPP and Debt Advisory plus Financial Modeling. Mr. Hynd is an Associate of the Institute of Chartered Accountants in England and Wales (ICAEW) and member of the Institute's Corporate Finance faculty. He is also a full member of the Association of Corporate Treasurers.

    Mr. Hynd's team at Baker Tilly can become involved in Project Finance or Financial Modeling in three ways:
  • Financial Adviser to the Government – structuring projects, evaluating bids, and negotiating detail
  • Financial Adviser to the Consortium – assembling the bid, refining and optimising it, and acting as interface with funding markets
  • Acting for the Banks and other Lenders - providing reassurance that the model on which they are lending is fit for purpose.
  • Other Services Include

  • Capital Markets: Reporting Accountants, Flotation e.g. advice on Financial Structuring, Accounting Systems and Policies, Share Option, Director / Employer Benefits, Audit and Taxation services
  • Due Diligence: Historic Performance, Cash Flows, Assets and Liabilities, Forecasts, Working Capital Requirements, Financial Systems and Controls, Taxation
  • Mergers and Acquisitions / Private Equity:Preparing / Maximise Value from Business Sales, Negotiate Terms and Raise Private Equity / Debt Finance to Support Management Buy Out or Buy In, Raising Private Equity / Debt Finance for Growth, Cash Out or Recapitalisation, etc.
  • Valuations: Shares, Businesses, Options and Warrants, Various Derivatives, Brands and other Intellectual Property, Film and Media Rights,Income Producing Assets
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    Joel Finard
    Principal
    74 Magnolia Avenue
    Larchmont NY 10538
    USA
    phone: 914-833-7633
    Joel Finard is an Expert Witness in Financial Services Litigation. He has extensive knowledge of People, Processes and Technology in Financial Services. Mr. Finard has played a key role in many Complex and High Profile Financial Services Litigation.

    Areas of Expertise
  • Financial Services Litigation
  • Complex Structured Transactions - Tax Related Cases
  • Securities Trading and Pricing, Derivatives, Controls and Hedging
  • Market & Credit Risk Management
  • Investment Management
  • Background: Partner in charge of Deloitte & Touche's Capital Markets Practice for Financial Services - including Litigation Consulting, Financial Risk Management, & Trading Infrastructure. HongKong Bank - Sales & Trading of Securities. Travelers Insurance - Portfolio Manager of Derivatives and Investments. Columbia Business School - Taught Economics
    7/25/2006 · Finance
    The successful conduct of discovery in complex financial services litigation requires the incorporation of a sophisticated understanding of the people, process, and technology employed within the industry

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    Boris Onefater
    305 Madison Avenue, Suite 2036
    New York NY 10165
    USA
    phone: 212-300-6250
    fax: 212-300-7849
    Mr. Boris Onefater has worked in the Investment Management Industry his entire career in various roles including as a Chief Executive Officer for a $19 billion investment management firm and as a National Hedge Fund Director and Partner of a Big 4 Professional Services Firm in New York.

    He specializes in providing litigation support services, due diligence in evaluation of M&A and investment transactions, business transformations, “turn around” services, operations and technology related services, controls assurance, risk management, valuations, accounting, and finance consulting to investment managers, administrators, prime brokers, investors and other stakeholders.

    Mr. Onefater has specific investment product knowledge in commodities, derivatives, fixed income instruments and equity securities.

    He also has substantial experience with litigation support assignments, fraud investigations and other due diligence initiatives.

    Mr. Onefater also served in other various roles over his career including: Chief Executive, Chief Operating and Chief Financial Officer of a $19 billion money management firm. The firm advised and sub-advised mutual funds, institutional assets, separately managed accounts and hedge funds. He also served as the Chairman of the Board of Directors of the proprietary mutual fund family. Additionally, Mr. Onefater was a Chief Financial Officer of a hedge fund complex based in New York, and was a Vice President in charge of mutual fund accounting and administration of a large international investment-bank.
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    Craig Wolson
    Expert Witness and Consulting Expert
    60 E. 42nd Street
    Suite 4600
    New York NY 10165
    USA
    phone: 203-858-4804
    fax: 203-222-8123
    Craig A. Wolson acts as a Structured Finance and Derivatives Expert Witness and Consultant. He specializes in cases involving credit default swaps (CDS), collateralized debt obligations (CDOs), mortgage-backed securities (MBS) and other types of derivatives and securities.

    Background Experience Includes:
  • Acting on behalf of 40,000 investors in $1.6 billion class action suit against bankrupt sponsor of special purpose issuer of notes secured by notes issued by CDO and credit default swaps with sponsor; acting on behalf of class led by two major pension funds against a major bank and numerous large underwriters involving mortgage-backed securities issued by several vehices established by the bank, and securities issued by the bank; acting on behalf of large investment bank defendant in arbitration proceeding brought by another large investment bank involving nine CDOS established by defendant; acting on behalf of large bank that had invested in now-worthless notes issued by SIV established by defendant banks; acting on behalf of large bank against another large bank that had sold the former CDOs and CDS.

    Areas of Expertise:
  • Securitizations - Collateralized debt obligations (CDOs); collateralized bond obligations (CBOs); collateralized loan obligations (CLOs); asset-backed commercial paper (ABCP) programs; structured investment vehicle (SIV) programs; securitized credit-linked notes, equipment leases, railroad license agreements, and auto loans; and obligations of certified capital companies
  • Derivatives - Credit default swaps (CDS)
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    Prof. J. Gregory Sidak
    1000 Connecticut Avenue, NW
    Suite 900
    Washington DC 20036
    USA
    phone: 202-518-5121
    Prof. J. Gregory
    J. Gregory Sidak is an Expert Economist in the fields of Antitrust, Telecommunications Regulation, Commercial and Investment Arbitration, and Intellectual Property Law His firm, Criterion Economics, offers market research and analysis, preparation of reports and white paper services to support legal disputes. Prof. Sidak has been a consultant on regulatory and antitrust matters to the Antitrust Division of the U.S. Department of Justice and the Canadian Competition Bureau and to multinational corporations in the telecommunications, electric power, natural gas, mail and parcel delivery, broadcasting, newspaper publishing, and computer software industries in the Americas, Europe, Australia, and Asia. The focus of his research has been Regulation of Network Industries, Antitrust Policy, the Internet and Electronic Commerce, Intellectual Property, and Constitutional Law issues concerning Economic Regulation.

    Prof. Sidak has led seminars and research on damages and irreparable harm. He formerly served as Deputy General Counsel of the Federal Communications Commission and as Senior Counsel and Economist to the Council of Economic Advisers in the Executive Office of the President. Prof. Sidak is the founding editor of the Journal of Competition Law & Economics for the Oxford University Press. His writings have been cited by the Supreme Court of the United States, the U.S. Court of Appeals for the D.C. Circuit, and lower state supreme courts. He has also been cited by the Supreme Court of Canada, the European Commission, the Federal Trade Commission, and other regulatory agencies.

    Consulting Services: Damages and Valuation with expertise in disputes related to Trade Secret, Trademark, Trade Dress, Copyright Infringement & False Advertising, Licensing (Know-How) and Patents. Prof. Sidak's Consulting Services are usually sought out for Technology Disputes, Claims of Monopolization Antitrust & Unfair Competition, Administrative Proceedings, Price-Fixing & Dominance Allegations, Trade & Distribution Agreements, and to provide Regulatory Advice.

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    5/6/2013 · Antitrust
    The landmark Microsoft case raises challenging questions concerning antitrust remedies. In this Article, we propose a framework for assessing the costs and benefits of different remedies, particularly divestiture, in monopolization cases involving network industries.

    4/2/2013 · Antitrust
    What is the proper legal standard for product integration involving software? Because software is subject to low marginal costs, network effects, and rapid technological innovation, the Supreme Court's existing antitrust rules on tying arrangements, which evolved from industries not possessing such characteristics, are inappropriate.

    2/28/2013 · Antitrust
    A “price squeeze,” or “margin squeeze,” is a theory of antitrust liability under section 2 of the Sherman Act that concerns a vertically integrated monopolist that sells its upstream bottleneck input to firms that compete with the monopolist’s production of a downstream product sold to end users.

    The Telecommunications Act of 1996 sets forth extensive provisions to unbundle the local telecommunications network to encourage the development of a competitive market for local telephone.

    10/22/2012 · Antitrust
    The September 2009 announcement that the Federal Trade Commission and the Antitrust Division of the U.S. Department of Justice have initiated a review of the Horizontal Merger Guidelines provides a formal process for redefining the proper role of dynamic competition in antitrust law.

    J. Gregory Sidak, Dan Maldoom, Ricahrd A.D. Marsden, Hal J. Singer
    The Brussels Round Table, a forum of leading EU telecommunications operators and equipment manufacturers, commissioned these articles. They examine the deployment of broadband in European countries and make policy recommendations related to telecommunications regulation. Specific topics include pricing flexibility, competition, growth potential, likely future dynamics, competition, investment opportunities, eliminating excess regulation, facilitating longer-term points of view, and suggestions for transparent and competition-neutral subsidies.
    J. Gregory Sidak
    This book addresses deregulatory policies that threaten to reduce or destroy the value of private property in network industries without any accompanying payment of just compensation, policies that are termed "deregulatory takings." The authors further consider the problem of renegotiation of the regulatory contract, which changes the terms and conditions of operation of utility companies.
    J. Gregory Sidak
    Restrictions on foreign investment in U.S. telecommunications firms have harmed the interests of American consumers and investors, argues J. Gregory Sidak in this convincing study. Sidak shows why these restrictions, originally intended to protect America from the perils of wireless telegraphy by foreign agents, should be repealed...
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    Dr. Karina Sneiderova, MBA, ICFA, ASI
    Vice President
    Headquarters
    Rue General Dufour 22
    Geneva CH-1211
    CHE
    phone: 41-225-752-948
    fax: 41-225-948-025
    Dr. Karina
    Carlo Scevola & Partners is an International Fiduciary Company headquartered in Geneva, Switzerland, with branches in six continents. We specialize in International Planning, Strategic Consulting and Wealth Management.

    Our clients trust us for everything from setting up an Offshore Company to Mergers and Acquisitions to Business Finance and Asset Protection. CS&P’s customer-centric methodology ensures that each client gets a custom-tailored solution which addresses that business’ individual objectives and requirements.

    Our team has expertise in every functional category and every important geography. From finance to operations to human resources to marketing – from the Americas to Europe to Africa, Asia and Oceania – CS&P can bring together experienced executives who know how to advise you and will make your enterprise a success. All this while always protecting your privacy.

    Services Offered:

    Business and Strategic Consulting
  • S.W.O.T. Analysis
  • Pre-investment Feasibility Studies / Competitive Background Assessments
  • Business Plan Research, Writing and Production
  • Strategy Definition / Implementation
  • Reworking of Operating Processes for International Suitability
  • Industrial Partnership Scouting / Matching
  • Tailor Business Model to Market Environment, Jurisdiction and Local Authorities Requirements

    Corporate Finance:
  • Mergers, Acquisitions and CessionsCommercial Due Diligence or Investment / Financial Appraisals
  • Company Reorganization and Restructuring
  • Financial Feasibility Plans for Industrial Expansion
  • Scouting / Recruiting Highly Qualified Financial Management
  • Exit Strategies in the event of Buy-outs, Buy-ins, Spin-offs or MBOs, MBIs and LBOs
  • Listing on Stock Exchanges

    Offshore Consulting:
  • International Tax Planning
  • Corporate Structuring, Maintenance and Trusts
  • International Contracts Law
  • Jurisdictions
  • Residency and Citizenship
  • International Banking
  • Logistic Support
  • Government Licenses
  • Aircrafts and Vessels
  • Intellectual Property

    CS&P Operates In More Than 80 Countries Around The World.

  • Carlo Scevola and Karina Sneiderova
    Intended as a unique source of inspiration for effective business organization and tax planning, as well as a quick and easy reference book, the Offshore Jurisdictions Guide is a comprehensive and objective guide to offshore jurisdictions offering personal taxation and business opportunities. Providing a solid overview of 100 jurisdictions around the world, this is an essential handbook for financial experts, legal advisors, consultants, and the general public.
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    Mason Dinehart , III, RFC
    Owner and Founder
    5529 Bedford Ave.
    Los Angeles CA 90056-1010
    USA
    phone: 310-641-0377
    fax: 310-649-3663
    Mason
    Mason A. Dinehart III, RFC, principal at FEND, provides consulting services for the Securities Industry. From a long-standing banking background in corporate finance, to underwriting and investment banking experience in securities brokerage, he adds a strong knowledge of modern portfolio theory through the teaching of hundreds of retirement financial planning seminars to executives of Fortune 100 corporations. Mr. Dinehart performs Due Diligence and Compliance, along with the Sale of Equity Index Annuities and Securities. He has earned 4 awards as a Securities Industry Arbitrator having been selected to serve on 10 Arbirtation panels.

    Consulting Specialities Include:
    • Common / Preferred Stocks
    • Bonds
    • IPO’s
    • Mutual Funds
    • Variable / Index Annuities
    • Life Insurance / VUL's
    • LPs
    • Hedge Funds
    • REITS
    • TIC's
    • Options
    • REMICS
    • TINTS
    • Mortgage Backed Securities / Private Stock Offerings
  • Profit & Loss / Damages Calculations
  • Suitability
  • Fiduciary Duty
  • Due Diligence
  • Underwriting & Supervision
  • Overreaching
  • Churning
  • Asset Allocation
  • Modern Portfolio Theory Analysis
  • Stock Manipulation
  • On-Line Trading
  • RIA Activities
  • Control Person Liability
  • Industry Custom and Practice
  • Professional Licenses
    Member, FINRA. Board of Arbitrators #A30388
    Panel Chairman - NASD # 99-03001 - April 2000
    Silber Bennett Financial, Inc. - Series (7, 24, 63, 65, 79 & 99)
    life insurance & variable contracts (CA #0643601)

    Speaking Engagements
    Panel Member - 2004 Annual PIABA Convention. - "On Being Respondent's Expert Witness"
    Panel Member - 2004 Spring Conference "Junk Bonds"
    Speaker - Registered Representative Compliance Forum 2004 - "How to Avoid Securities Arbitration Complaints"

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    Daniel Reser
    President
    369-B Third Street, #543
    San Rafael CA 94901
    USA
    phone: 415-482-9513
    Daniel
    Daniel Reser has been a Corporate Fiduciary for corporate securities and reorganization transactions as well as Trustee and Custodian of Retirement Plans for over 25 years. Mr. Reser is considered a highly effective and capable trust fiduciary due to his legal training, his extensive experience as a fiduciary for corporate reorganizations and retirement plans as well as his reputation for ethical business practices and pragmatic management style.

    Prior to his role at Fiduciary Services, Inc., he served as Vice President and Manager for Wilmington Trust based in Santa Monica, CA, also of Bank of America, and Security Pacific Bank. Mr. Reser also has a JD from Southern Methodist University. In 1989, he graduated from the UCLA John Anderson Graduate School of Management Executive Program. During his career, Mr. Reser has administered and managed a wide variety of Governmental, Corporate and Union Retirement Plans as plan trustee. His current role as principal of an investment advisory firm includes acting as Fiduciary for Company Stock in Retirement Plans including ESOPs.

    Independent Fiduciary Consulting Transactions:
    • Mergers and Acquisitions
    • Restructuring of Capital and/or Debt of the Company
    • Spin-Offs
    • Recapitalizations
    • Pass-Through Voting
    • Tender Offers
    • Leveraged, Un-Leveraged and Multi-Investor ESOP Buy-Outs
    • Hybrid Securities
    Fiduciary Roles and Responsibilities:
    • Determine Fair Market Value of a Company's Shares
    • Evaluate Transactions from a Financial Point of View
    • Advise the Fiduciary During Negotiations and Structuring of Transactions
    • Render Necessary Opinions of Fair Market Value and Fairness and Provide Suitable Documentation
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