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Hedge Funds Expert Witnesses

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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
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Groton MA 01450
USA
phone: 617-872-2307
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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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Keith Underwood, MBA
FX Expert Witness
315 Madison Ave, 24th Fl.
New York NY 10017
USA
phone: 917-860-0208
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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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Gontran de Quillacq
Securities Consultant / Quantitative Portfolio Manager
NY / NJ
USA
phone: 732-533-9066
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Gontran de Quillacq has over 20 years of Securities experience specializing in Portfolio Management, Equity Derivatives Trading, Proprietary Trading and Investment Research. He has worked with top-tier banks and hedge funds in both London and New York.

Background Experience - A proprietary and derivatives trader, Mr. de Quillacq traded derivatives, from vanillas to exotics. As a portfolio manager, he researched and managed investment strategies, delivered both in hedge fund and in structured note formats. He actually initiated the distribution of investment strategies with derivatives, an activity now called 'portable alpha' and 'smart beta'. For five years, Mr. de Quillacq then ran due diligence on investments strategies and selected senior investment personnel for some of the world’s most famous and most demanding hedge funds and asset managers - portfolio managers, analysts, quants, CIOs, CROS. In 2017, he co-founded a quantitative fund deploying the latest machine learning techniques in global long/short equities.

Litigation Support - Mr. de Quillacq's investment experience and cross-sectional review of other professionals give him unique experience on what can be done, what should be done, what should not be done, and the grey areas in-between. During a personal case against HSBC, his legal team was so impressed by his wide and thorough knowledge in finance, his capacity to explain complicated ideas in simple terms, and his strong performance on the stand, that they strongly recommended he expand his litigation support services.

Mr. de Quillacq's services are available to attorneys representing plaintiff and defendant and include written reports, deposition, arbitration, mediation, and trial testimony as needed.

Areas of Expertise:
  • Investments and Trading: Securities and derivatives (stock options, swaps, exotics...), structured products, complex financial instruments, benchmarks manipulation (Libor, FX, indices), liquidity management, statistical arbitrage and algorithmic trading, portfolio construction and risks, management fees, broker dealers, hedge funds
  • Recruitment and Employment: Front-office personnel, portfolio managers, traders, quants, analysts, broker-dealers, compensation, due diligence, U5
  • Supported Practice Areas: Financial fraud & litigation, commodities & securities manipulation, white-collar crime, broker-dealers, hedge funds, investigations, enforcement, whistleblowing, alternative dispute resolution, FINRA arbitrations


Education / Training:
  • HEC Paris, MBA Finance, 1995
  • US Berkeley, visiting scholar, differential algebra, 1993
  • Ecole Superieure d'Electricite, doctoral degree (DEA), 1993
  • Stanford Research Institute, international fellow, atomic physics, 1992
  • Ecole Normale Superieure de Lyon, MS theoretical physics, 1992
  • Ecole d'Application du Train, lieutenant, 1990<
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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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    Charles Porten, CFA
    CFA, President
    9 Little Fox Lane
    Weston CT 06883
    USA
    phone: 203-454-4615
    fax: 203-227-2763
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    Charles Porten, CFA, is a Registered Investment Advisor, Chartered Financial Analyst, and investment expert with more than 30 years of experience in portfolio management of trust and advisory accounts, brokerage accounts, hedge funds and mutual funds, due diligence procedures, and compliance issues. His clients include attorneys, individuals, banks, investment advisors, broker-dealers, corporations, and the SEC.

    Background Experience - Mr. Porten has an extensive background within broker-dealer, investment advisor and bank trust environments and overseeing organizations staffed by as many as 100 personnel in managing asset bases as high as $20 billion. He has been an analyst, research director, portfolio manager, chief investment officer, business manager, and registered representative at four leading financial institutions. He has also been a guest lecturer at Harvard Law School and serves as a FINRA arbitrator.

    Litigation Support - Mr. Porten has testified over 75 times in court, depositions and arbitrations. He has been qualified to testify as an expert witness for both plaintiff and defendant on matters including:
    • Fiduciary Duty
    • Hedge Funds
    • Mutual Funds
    • Trusts and Estates
    • Variable Annuities
    • Investment Advisor
    • Brokerage Accounts
    • Portfolio Management
    • Due Diligence
    • Supervision
  • Standards of Care
  • SEC
  • Exchange Funds
  • ETF's
  • ERISA
  • IRA's
  • Securities Fraud
  • Acquisions
  • Suitability
  • Compliance Issues
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    Frank Carr
    Financial Services Consultant
    Norwalk CT 06854
    USA
    phone: 203-344-9531 (Office) 203-249-7244 (Cell)
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    Frank Carr Financial Services Expert PhotoFrank Carr has extensive background and experience as an Investment Industry Employment and Compensation Expert Witness, especially Investment Management Firms, Mutual Funds, Hedge Funds, Wealth Managers, and Broker Dealers.

    Mr. Carr is a former corporate banker, investment firm Chief Financial Officer and a 20 year veteran of executive search for the Investment Management industry. He has written articles for and has been frequently quoted by publications such as Bloomberg News, CNN Money, Fund Fire, Ignites, Absolute Return, Hedge Fund Alert, and Hedge Fund Manager Week. Prior to entering the executive search field, he was the Chief Financial Officer of a Connecticut-based hedge fund and Commodity Trading Advisor (CTA). Mr. Carr started his career in commercial bank lending, initially with Citigroup in their Wall Street Commodities division and later specialized in financing independent feature film producers, TV producers and television station owners on behalf of European American Bank in New York.

    Litigation Support - Frank Carr is an Investment Industry Employment and Compensation Expert Witness who has been retained by both plaintiffs and defendants for American Arbitration Association, JAMS and FINRA arbitration, mediation, and federal court litigation. Mr. Carr has over 30 years of experience in Financial Services, Investment Management, and Banking and his areas of coverage include Traditional and Alternative Investments – Equities, Fixed Income, Mutual Funds, Hedge Funds, Private Equity, and Managed Futures.

    Areas of Expertise:
    • Executive Compensation
    • Employment and Hiring Practices
    • Wrongful Dismissal
    • Lost Earnings
    • FINRA Arbitration
    • Employment Discrimination
    • Compensation Consulting
  • Institutional Asset Management
  • Mutual Funds
  • Hedge Funds
  • Private Equity
  • Wealth Management
  • Broker / Dealers
  • Retail Financial Advisory
  • Sales Process for Investment Products
  • Prior Expert Witness Assignments:
    • Represented a hedge fund portfolio manager as an expert rebuttal witness in a high profile hedge fund employment/compensation lawsuit. Prepared a rebuttal opinion letter submitted to the United States District Court for the Southern District of New York.
    • Represented a $12 billion Texas-based SEC Registered Investment Adviser and leading global alternative credit manager in a JAMS arbitration regarding a terminated employee. Prepared a rebuttal expert witness report and provided live testimony at the JAMS arbitration hearing.
    • Represented a financial advisor in a FINRA arbitration against one of the top 5 U.S. wealth management firms. The scope of the opinion included projected career advancement, compensation analysis and calculation of lost earnings.
    • Represented a portfolio manager/ investment analyst in a wrongful termination action against one of the largest U.S. Broker Dealers with over $600 billion in assets. The scope of the opinion included projected career advancement and compensation analysis. Prepared an expert witness report and provided live testimony at the FINRA arbitration hearing.
    Education - Mr. Carr is a graduate of Williams College where he received a Bachelor of Arts degree in Political Economy. He completed the Management Training Program at Citigroup in New York, including courses in accounting, finance and capital markets. He has previously held FINRA licenses, Series 3, 6 and 63 and has completed Level I of the Chartered Alternative Investment Analyst (CAIA) program.