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Deposition Designation Station

Hedge Funds Expert Witnesses

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Max G. Ansbacher
4535 44th Street
Sunnyside NY 11104
phone: 918-293-6767
Max G. Ansbacher founded and managed a Hedge Fund specializing in the use of Options and Equities for 25 years.

Background - Mr. Ansbacher began his career in 1965 as an attorney with the Wall Street law firm of Breed, Abbot, and Morgan, working on corporate tax matters. He left to become an international tax lawyer at Bristol Myers where his position included liaison with lawyers around the world.

In 1999, after some consideration, Mr. Ansbacher decided to change his occupation to become an options trader. He joined Bear Stearns as a stock broker and wrote the first book on exchange traded options. He remained at Bear Stearns for nearly 20 years until he left to set up his own firm, Ansbacher Investment Management, which is now one of the oldest firms devoted to options writing.

Mr. Ansbacher has often been quoted in the media, including The Wall Street Journal, and has been a frequent guest commentator on the Bloomberg Television Network, Fox News Channel, and CNBC. He is the author of three books on investing, including the New Options Market, Fourth Edition, which was the first book published in America on exchange-traded options, and has become one of the all time best-selling books on the subject. He was featured on Forbes magazine, October 2, 2004.

Litigation Support - Max G. Ansbacher provides expert witness, litigation support, and project management for complex securities litigation. His expertise is available to attorneys representing both Plaintiff and Defendant. His services include project management, research, and report writing.

Areas of Expertise:
  • Hedge Funds
  • Financial Markets
  • Derivatives
  • Swaps
  • Finance
  • Risk Management
  • Broker Standard of Care
  • Suitability
  • Foreign Exchange / Currency
  • Fixed Income
  • Equity
  • Commodities
  • Options
  • Portfolio Management
  • Max G. Ansbacher
    This updated and expanded fourth edition uses real-world illustrations to present the basics of options trading theory and practice. It acquaints readers with the most successful options trading strategies and alerts them to the ten biggest options trading mistakes.
    Max G. Ansbacher
    Max G. Ansbacher
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    Carl W. Gilmore
    601 S. La Salle St.
    Suite 200
    Chicago IL 60605
    phone: 312-894-1041
    Carl W. Gilmore is a licensed attorney and seasoned Futures and Securities industry executive with 25 years of futures commission merchant and broker-dealer international, operational, legal, compliance, client-facing, executive, and risk management experience.

    Background - Mr. Gilmore held positions with brokerage firms as a Chief Compliance Officer, General Counsel, Global Enterprise Risk Manager, and Managing Director responsible for all aspects of a mid-size futures brokerage firm with 40 employees and $900 million client dollars under management. He currently sits on the National Futures Association's Compliance and Risk Committee. Mr. Gilmore was previously a member of the Sentinel Management Group Creditors Committee and a member of the Law and Compliance Executive committee of Futures Industry Association.

    Litigation Support - As a licensed attorney, Mr. Gilmore has the critical skills needed to solve complex litigation and management issues. His extensive hands-on experience in all aspects of operating FCMs and broker-dealers allows him to assess business situations and effectively communicate and articulate, whether forensically or to confirm tactical compliance with client obligations. Mr. Gilmore's services are available to counsel representing both Plaintiff and Defendant.

    Areas of Expertise:
    • Brokerage Management
    • Brokerage Operations
    • Business Acquisitions
    • Commercial Litigation
    • Commodities Futures
    • Computer Investigations

  • Crisis Management
  • Derivatives & Swaps
  • Dodd-frank
  • Economic Damages
  • Economic Losses
  • Financial Analysis

  • Financial Futures
  • Investments
  • Regulatory Compliance
  • Risk Management
  • Securities
  • Stock Options
  • View Carl Gilmore's Consulting Profile.
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    6700 S. Florida Avenue, Suite #3
    Lakeland FL 33813
    phone: 863-398-9898
    James W. Lovely, BBA, MBA, JD, is an experienced provider of expert witness testimony, case analysis and consulting advice. He has more than 25 years of business and legal experience in the financial markets with particular expertise in:
    • Complex financial products, including swaps, swaptions, options, futures, repurchase agreements, foreign exchange, commodities, prime brokerage arrangements, securitizations, structured notes and municipal bonds;
    • Secured commercial lending and hedging arrangements often (but not exclusively) involving those complex financial products; and
    • U.S. commercial, commodities, securities and banking law and regulations governing those financial products.
    Mr. Lovely is adept at simplifying or clarifying complex financial products and disputes and translating between a client’s legal team and its executive/financial officers while delivering insightful analysis and persuasive testimony. He is a very capable writer and public speaker and currently maintains his own consultancy in the above-described areas of expertise. He is intimately familiar with ISDA, NAESB, EEI, ICOM, IFEMA and SIFMA financial product documentation, forms and protocols.

    Recent Expert Witness Engagements:
    • Analysis of documents, opposing expert’s report, and damages, and deposition testimony in NY case re: $500 million municipal bond repurchase agreement, interest rate derivatives, and municipal bond securitizations.
    • Analysis of transaction documents and opposing expert’s report, preparation of rebuttal report, and deposition testimony on $17 million aircraft loan, related guarantees, and swap documentation and sales practices in Federal case.
    • Evaluation of transaction documents, witness statements and opposing expert's opinion, and deposition/trial testimony as to whether promissory notes were "securities" under Florida and Federal law; Defendant acquitted on all criminal counts.
    • Assistance to counsel in bankruptcy case seeking to void interest rate swap as illegal.
    View James Lovely's Consulting Profile.
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    Keith Underwood, MBA
    FX Expert Witness
    315 Madison Ave, 24th Fl.
    New York NY 10017
    phone: 917-860-0208
    Keith Underwood is a respected 25-year veteran of the Global Foreign Exchange market where he earned a reputation as a formidable FX derivatives portfolio manager and business architect. He is an expert in market practice and in the institutional structure and widespread trading strategies commonly employed by traders.

    Background Experience - Mr. Underwood has managed spot, forward, option, and NDF traders globally. In the course of building customer franchise businesses for US investment banks and European commercial banks, his endeavors carried him to every major trading center in the world. He spent 17 years in the London FX market and eight years in New York. He is a dual citizen of the US and the United Kingdom.

    Throughout his career, Mr. Underwood has held several managing director positions at global FX banks including Lloyds Banking Group, Standard Chartered, Credit Agricole, Lehman Brothers, and Morgan Stanley.

    Litigation Support - Keith Underwood provides expert witness services to top multinational law firms on cases involving Loss Attribution, Product Identification, Derivative Pricing, and Trader Reasoning. His services include detailed written reports and testimony when needed. Mr. Underwood's specialized knowledge is available to attorneys representing both Plaintiff and Defendant.

    Areas of Expertise:
    • Currency, Product, and Trade Detail Identification: Investigations and forensic deal deconstruction
    • Valuation and Pricing: Expertise in the pricing of derivatives and historical pricing
    • Data Solutions: Consolidate and mine key historical trade and market data for analysis
    • Trade Blotter Analysis: Identify abnormalities, off-market prices and practices, or inconsistencies in connection with trading activity
    • FX Market Speak: Translate industry language and provide clarity to complex market practices
    • FX Best Practice: Providing best practice global guidelines from the foreign exchange committees worldwide

    View Keith Underwood's Consulting Profile.
    5/13/2016 · Finance
    Between the Delloite 2016 Global FX Survey and the FIREapps Q4 2015 Currency Impact Report, it appears that treasurers and CFO's have resigned themselves to accepting emerging markets currency risks. A deeper dive into the surveys reveals that the FX exposures to hedge (if known because its too expensive to track) can't necessarily be trusted (can't verify hedging numbers), and the high volatility price of EM currency pairs makes it difficult. My advice to those with responsibility for hedging currency exposures is to budget for currency exposure reporting software for 2017, put in place a hedging policy and procedure document that is board approved, and ensure that zero cost collars are utilized to hedge EM exposures.

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    Groton MA 01450
    phone: 617-872-2307
    John Valentine Banking Finance Expert PhotoJohn W. Valentine is an attorney with more than 40 years of experience – over 30 of which are in Custody Banking, ERISA Fiduciary, Benefits and Asset Servicing work. He has served as an expert witness in global custody and asset servicing matters for private litigants as well as the SEC, and is available for either plaintiffs or defendants.

    Prior to starting Valentine Law in 2009, Mr. Valentine: headed the legal office of Mellon Bank (later BNY-Mellon) in Everett, MA for 11 years; was in-house counsel to Chase Manhattan Bank’s Trust and Custody operations for almost 10 years; and for 7 years was Labor and Benefits counsel for Lever Brothers Company.

    Mr. Valentine was an active participant in the ERISA Attorney’s Group and helped found the Association of Global Custodians. As such, he knows and has helped influence industry practices as well as regulations and regulatory policies affecting Institutional Investors.

    His extensive in-house experience is unique. His insider knowledge of procedures and operations is invaluable in analyzing investment losses involving bank custody or service provider negligence. He can help draft strong Complaints that will survive attack, as well as effective Answers and Counter-Claims. Because he knows internal structures and operations, he can also help conduct more effective discovery –in demanding and analyzing key materials -- as well as identifying issues which might otherwise be missed -- to develop a winning strategy.

    His reports and opinions are authoritative and persuasive.

    Areas of Expertise:
    • Directed Trustee and Custodial Agreements, Duties and Operations
    • Best Practices for Pension Funds, Mutual Funds, Endowments / Foundations, Corporate Assets, Hedge Funds
    • Trade Settlement Operations
    • Settlement, Custody and Documentation of Non-Traditional Investments, including Limited Partnerships, LLCs, GICs / GACs, Group Trusts, and Hedge Funds
    • Derivatives Processing, Reporting and Documentation for both bi-lateral and exchange-traded derivatives
    • Collateral and Account Control Agreements and Duties
    • Foreign Exchange, including ERISA Exemption Procedures
    • Valuation of Assets, including hard-to-value assets
    • Selection, Oversight, and Management of Sub-Custodians
    • Foreign Tax Reclaim Administration
    • Corporate Actions
    • Proxy Voting
    • Company Stock
    • Collective Investment Funds, including STIFs
    • Luxembourg and Irish Fund Administration
    • Bank Deposit Vehicles
    • Overdraft Facilities
    • Risk and Compliance Department Function / Risk Mitigation / Risk Controls
    • Mutual Fund Back-Office, Accounting and Administration
    • Rules 17f-5 and 7 for foreign custody of US Mutual Fund assets
    • The Custody Rule applicable to Investment Managers
    • ERISA plan asset issues
    • ERISA foreign asset custody rules
    • ERISA prohibited transactions
    View John Valentine's Consulting Profile.
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    Craig Wolson
    Expert Witness and Consultant
    One Grand Central Place, 60 E. 42nd Street
    Suite 4600
    New York NY 10165
    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 - 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)