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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
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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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    Bob Lawson, Securities Expert & FINRA Arbitrator
    3800 American Boulevard West, Suite 1110
    Bloomington MN 55431-4460
    USA
    phone: 800-741-0704
    fax: 952-835-1504
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    Barrington Capital Management, Inc. provides customized financial solutions for unique financial challenges and objectives. Their expertise is in the development, implementation and ongoing management of a customized and diversified investment strategy. Barrington's mission is to assist in building, enhancing, and protecting personal wealth and maintaining financial security.

    Robert Lawson Wealth Manager Expert PhotoPresident and Chief Executive Officer, Bob Lawson, has over 30 years of financial services experience as an Investment Advisory and Insurance Agency Executive, Securities Principal, and Options Principal. Bob proudly serves as an industry arbitrator for the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA), a Certified Fraud Examiner (CFE), ERISA (3)-21 Fiduciary, and an Accredited Investment Fiduciary.

    In addition to teaching advanced investment strategies and Retirement Planning classes throughout the year, Bob is widely sought as a keynote speaker for current financial events, markets, and personal financial planning topics. Bob Lawson has special expertise in stock options and has presented the following Options Industry Council (OIC) seminars to retail and industry professionals throughout the United States:
    • Options Basics
    • Options Intermediate
    • Advanced Options
  • Covered Calls
  • Options Spreads
  • Option Volatility
  • View Bob Lawson's Expert Witness Profile.
    7/11/2017 · Securities
    In the securities brokerage industry, "selling-away" refers to the prohibited practice of an Associated Person effecting or soliciting the sale of securities or investment products not held or approved with whom the broker is affiliated without prior written consent. FINRA regulators have seen a steady flow of selling-away cases over the years involving registered representatives who are being targeted by issuers, promoters and marketing agents to sell their nontraditional investment products to their retail customers. In many instances, promoters of these products are marketing them as non-securities products that do not have to be sold through a broker-dealer by a registered person. In a significant number of cases, associated persons have sold these investments to their customers away from the broker-dealer and without firm approval as required by FINRA Rule 3270. Selling-away often occurs in an independent branch or a satellite office, where Associated Persons are removed from the day-to-day oversight and supervision of their brokerage firm's compliance department.

    9/23/2015 · Finance
    I receive phone calls throughout the year from attorneys who have taken on their first FINRA case and they frequently are unaware how the FINRA Dispute Resolution process differs from other venues. I thought it would be helpful to provide a quick overview for new participants and a refresher for those more experienced securities attorneys on how the FINRA Arbitration and Mediation process works.

    8/26/2015 · Finance
    In FINRA-related cases many attorneys see discovery requests objected to by opposing counsel. Typically, opposing counsel objects to discovery requests citing that items requested are either "overly broad, vague, or ambiguous", or "impermissible per FINRA's Code of Arbitration Procedure". However, despite opposing counsel's reasoning, many objections to discovery requests are irrelevant and do not hold up in regard to FINRA's Code of Arbitration Procedure. Attorneys should not be intimidated or discouraged by these objections, but rather should understand that FINRA's guidelines concerning arbitration allow for most applicable and reasonably obtainable discovery information to be delivered.

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    Michael K. Smith, NFA, FINRA
    Bozeman MT USA
    phone: 630-531-1000
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    Michael K. Smith, NFA, FINRA is a highly experienced Financial Services Executive and Finance Professional with over 40 years dedicated to high-end client representation and large-scale regional management.

    As Managing Director and as Regional Manager since 1997, Mr. Smith was responsible for all aspects of the securities and banking activities within the Midwest region for three major firms: Lehman Brothers, Barclays Wealth and Citi Private Bank. He was responsible for supervising more than 50 registered representatives.

    From 1982 to 1997, Mr. Smith was a dedicated Top Producer accustomed to results-based rewards for services provided to Morgan Stanley’s ultra high net worth clients (UHNW). He specialized in developing and executing solutions to meet complex financial objectives. This period was highlighted by providing substantial agency, principal and fiduciary related transactional and investment management business for top-tier clients with $25MM - $10B net worth.

    Mr. Smith offers substantive experience and expertise in the following:
    • Options
    • Futures
    • Commodities
    • Common Stock, Preferred Stock
    • Municipal Bonds
    • Corporate Bonds
  • Hedge Funds
  • Margin & Lending
  • Derivative Securities
  • Limited Partnerships
  • Mutual Funds & ETF's
  • Discretionary Managed Assets
  • Litigation Support - Michael Smith has distilled his 40 year career in Securities and Banking into a focused expert practice. His nationwide services are requested when a client is contemplating filing an arbitration claim or after an arbitration claim or suit has been filed. He acts as an expert witness for plaintiffs or defendants involved in the following claims:
    • Misrepresentation
    • Unsuitable Trading
    • Breach of Fiduciary Duties
    • Failure to Supervise
    • Omission of Facts
    • Negligence
    • Churning
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    Daniel Reser
    President
    369-B Third Street, #543
    San Rafael CA 94901
    USA
    phone: 415-482-9513
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    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
    View Expert Witness Profile.
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    W. Timothy Finn
    Managing Partner
    483 Emerald Hill Road
    Russell Springs KY 42642
    USA
    phone: 270-866-2566
    fax: 270-866-4624
    Financial Management Consulting Group is an affiliation of well-experienced consultants serving banking interests throughout the country. Our years of experience, as bankers, as bank consultants, and as regulators provide valuable insight into case matters.

    We can assist both from the industry perspective and from the regulatory perspective, offering a comprehensive assessment and well supported opinion. We have qualified as experts in numerous State and Federal jurisdictions, and on numerous banking related matters. We are dedicated to providing clients with quality, results-oriented service.
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    Dr. Jules Kamin
    President
    6380 Wilshire Blvd., Suite 1102
    Los Angeles CA 90048
    USA
    phone: 323-653-9555
    fax: 323-653-5391
    Dr. Jules Kamin received his Ph.D. in business economics, finance and management science from the University of Chicago Graduate School of Business, rated #1. He is an expert on Economic Damages and Economic / Financial Aspects of Liability. He brings to the practice of forensic economics a unique combination of educational background, practical business and teaching experience, and a proven record of expert retention and testimony in over five hundred cases since 1987.

    Services Include:
  • Lost Profits
  • Lost Business Goodwill
  • Diminution of Business Value
  • Business Valuation
  • Lost Earnings and Benefits
  • Course of Conduct
  • Business Torts
  • Fraud
  • Interference with Prospective Economic Advantage
  • Breach of Contract
  • Unfair Competition
  • Condemnation
  • Infringement of Intellectual Property
  • Antitrust
  • Securities
  • Personal Injury
  • Wrongful Termination
  • 9/5/2010 · Damages
    Commercial damages occur in breach-of-contract and business-tort cases that result in claims of lost profits or diminished business goodwill or business value. Intellectual-property-infringement cases and antitrust cases also can involve such loss claims. The measurement of damages in these types of cases follows a basic methodology, with some variations in intellectual-property matters. Measurement of damages in securities-fraud cases uses a different approach.

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    Craig Wolson
    Expert Witness and Consultant
    One Grand Central Place, 60 E. 42nd Street
    Suite 4600
    New York NY 10165
    USA
    phone: 203-858-4804
    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
    • Derivatives
    • Securities Law and Corporate Finance
    • Loans and Credit Facilities
    • Due Diligence