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Money Management Expert Witnesses

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Bob Lawson, CFE®, AIF®, RFC®, LUTCF®
Securities & Insurance Expert Witness | 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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Securities ExpertCertified Fraud ExaminerMr. Bob Lawson, AIF®, CFE®, RFC®, LUTCF, is a Securities & Insurance Expert Witness retained for FINRA arbitration, mediation, and federal/civil court litigation. Mr. Lawson possesses over 30 years of experience within the securities and insurance industries. In 1988, Mr. Lawson founded Barrington Capital Management, Inc., a Registered Investment Advisory firm and Insurance Agency, and currently serves as the President and Chief Compliance Officer.

In addition, Mr. Lawson presides as a FINRA & NFA Dispute Resolution Arbitrator for disputes concerning public and private investors, financial services professionals, broker-dealers, and dually-registered investment advisers. Claims often arise regarding breach of fiduciary duties, employment disputes, conflicts of interest, churning, unsuitable investments, and failure to supervise, among others. Mr. Lawson also serves as a public mediator and is a Qualified Neutral under Minnesota Rule 114 of Standard Practice in Mediation and Arbitration.

His breadth of experience includes managing and supervising FINRA broker-dealer branch offices as a Registered Securities Principal, Options Principal, and Chief Compliance Officer. Mr. Lawson also has considerable experience with insurance products including variable annuities, fixed and indexed annuities, long term care, and life insurance. Mr. Lawson possesses numerous accolades and is certified as an Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Registered Financial Consultant (RFC®), and a Life Underwriter Training Council Fellow (LUTCF®).

Retaining Mr. Lawson as an Expert Witness and Litigation Consultant will clarify and address relevant issues pertaining to your case from an insider's point of view. Upon a thorough examination and analysis of the case material, Mr. Lawson’s conclusions and opinions are impartial, objective, and predicated upon years of industry expertise and experience. Expert testimony and reports are supported by thorough and detailed research through case-specific analysis.

Areas of Expertise:
  • FINRA & SEC Regulations
  • Breach of Fiduciary Duty
  • Promissory Notes
  • Securities Fraud Investigations
  • Ponzi Schemes
  • Options, Stocks & Bonds
  • Due Diligence
  • FINRA Arbitration
  • Professional Malpractice
  • Economic Damages & Losses
  • Employment Discrimination & Termination
Services:
  • Litigation Consulting
  • Unbiased Case Analysis
  • Discovery Review & Recommendations
  • Portfolio Risk Reports
  • Securities Fraud Investigation
  • Damage Calculations
  • Expert Testimony
View Bob Lawson's Consulting Profile.
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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Gary G. Capata, CPA
Kerrie Merrifield, CPA, CFF
28202 Cabot Road
Suite 245
Laguna Niguel CA 92677
USA
phone: 949-364-0334
fax: 949-364-0362
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Capata & Co. has been providing Forensic Accounting litigation support for over 25 years. Their expert auditing skills be used to provide an analysis of financial records in cases involving economic disputes, fraud, and theft investigation.

Areas of Forensic Accounting Expertise:
  • Forensic Accounting and Investigations
  • Economic Damages
  • Business Valuation
  • Lost Profits Analysis
  • Fraud Investigation
  • Contract Non-Compliance
  • Gary Capata Forensic Accounting Expert PhotoGary G. Capata, CPA has over 35 years of experience as a Certified Public Accountant. He has substantial experience in Forensic Accounting and litigation support with qualifications as an expert witness in Los Angeles, Orange, Riverside, San Bernardino, San Diego, San Francisco, Solano, and Fresno Counties.

    Mr. Capata utilizes unique and tested damage measurement methods to determine the extent of Financial Loss or Economic Damage. His expert auditing skills and investigations services have been called upon for matters involving financial disputes, fraud, and theft.

    Mr. Capata has been qualified to testify in Federal Court and U.S. Tax Court. He is available to present an opinion to support or oppose evidence submitted to the court. Mr. Capata's services are available to counsel representing both Plaintiff and Defense.

    Kerri Merrifield Forensic Accounting Expert PhotoKerrie Merrifield, CPA, CFF, is the Director of Litigation Support, Valuations, and Trust Administration at Capata & Co. She has over 25 years of public accounting experience with an emphasis in Forensic Accounting, litigation support, and CFO roles in various sized companies and industries.

    Ms. Merrifield has worked with various industries including entertainment, restaurant, and hotel. Her projects include, but are not limited to business valuations, economic damage analysis, income loss analysis, fraud investigations, business disputes, contract noncompliance, related damage analysis, writing business valuation reports, Rule 12 reports that are used in Federal courts, and testifying as an expert witness.

    View Capata & Co.'s Consulting Profile.
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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
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    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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    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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    Douglas Minor
    Founder
    2625 Townsgate Rd. Suite 330
    Westlake Village CA 91361
    USA
    phone: 805-267-1118
    fax: 805-299-4980
    As Author of Anatomy of Credit Scores and Founder / President of Easy Credit Relief, Inc., Douglas Minor focuses on helping and teaching people how to understand the credit system. Showing them the best ways to use credit and maximize their score.

    Doug has spent the last 25 years reviewing personal credit reports and financial profiles of individuals. He has happily been quoted and interviewed for articles appearing in FoxBusiness.com, Yahoo! Finance, and Entrepreneur Magazine.

    During this time he has enjoyed answering thousands of questions regarding credit scores and the information contained in credit reports.

    Having a pragmatic disposition as well a broad base of experience in business he has the unique knowledge and academics to assess damages. He has performed training classes to audiences of all levels of sophistication including Professional Groups, Lenders, CEO’s, and Consumers. As a respected Expert in Credit Related Damages, Credit Reporting, and Scoring he serves as a litigation consultant / expert witness for those involved in credit damages litigation.
    Doug Minor
    This book is for professionals and consumers alike. In this comprehensive how-to guide and easy to follow references, provides in-depth coverage of the credit reporting, repairing and scoring system. This is an eye opening journey into one of the most misunderstood yet needed topics of today.
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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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    Christopher Linscott, CPA, CFE, CIRA and Eric Lee, CFE, CIRA
    3443 N Campbell Avenue, Suite 115, Tucson, AZ 85719
    8800 N Gainey Center Drive, Suite 278, Scottsdale, AZ 85258
    USA
    phone: 520-884-0176 or 480-374-6394
    fax: 520-884-8767
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    Keegan, Linscott & Kenon, PC (KLK) is a full service accounting firm with more than 20 years of experience providing expert services as Certified Public Accountants, Certified Fraud Examiners, Forensic Accountants, and Certified Insolvency and Restructuring Advisors.

    KLK's litigation support team assists clients and their attorneys to prepare for the financial and economic facets of settlement or trial proceedings. They perform in depth analyses and provide clear and detailed explanations of findings. They assist attorneys as consultants or in the court in a wide range of cases and investigations. Their role can involve fact finding, discovery, settlement negotiations, trial support, and expert witness testimony.

    The professionals at KLK have testified as experts in Federal, District, Bankruptcy, State, and Tax Courts, as well as before arbitration panels. They have the proven ability to develop and communicate compelling analyses of accounting, economic and financial information to judges and juries in plain, simple language through affidavits, written reports, oral testimony, and trial graphics.

    Litigation Support Services:
    • Analyze damages involving commercial litigation and damages involving individuals, including lost profit analysis, owner disputes, employee/employer disputes, personal injury, and business interruption claims
    • Evaluate opposing party's financial damages report to uncover any hidden facts or missing information in a business damages case
    • Divorce litigation, including analysis of sole and separate property issues
    • Locate hidden assets
    • Analyze preference claims, inter-company transfers of assets, and fraudulent conveyances
    Christopher Linscott Forensic Accounting Expert PhotoChristopher G. Linscott, CPA, CFE, CIRA, is a Director of Keegan, Linscott & Kenon, PC, and is the Director of Litigation, Forensic Accounting, and Bankruptcy Support Services. Mr. Linscott was previously employed with the international CPA firms of Coopers & Lybrand (now Price­water­houseCoopers), and Peat Marwick (now KPMG). He has more than 25 years of ex­perience in public accounting.

    Mr. Linscott specializes in the areas of Litigation Support, Bankruptcy Reorganization, Fraud Investigations and Prevention, and Business Consulting. He has served clients in industries including construction, health care, home builders and developers, law firms, manufacturing and distribution, non-profit, professional services, real estate, restaurant franchises, retail service, and wholesale.

    Mr. Linscott is a Member of the Arizona Society of CPA's, American Institute of Certified Public Accountants, National Association of Certified Fraud Examiners, Association of Insolvency and Restructuring Advisors, and a Director of the Board of Directors at Bashas’.

    Eric Lee Forensic Accounting Expert PhotoEric A. Lee, CFE, CIRA, is a Principal and Phoenix Practice Leader in the Consulting Services group of KLK. A Certified Fraud Examiners, he serves in testifying expert and consulting expert roles in litigation, forensic accounting, fraud and investigation services, and criminal matters both in the United States and internationally.

    Mr. Lee has extensive experience conducting complex financial analysis and forensics related to multi-million dollar fraud schemes, analysis of complex financial accounts and transactions, fraudulent transfers and conveyances, analysis of securities transactions, international investigations, and loss and damages calculations.

    Prior to his career in consulting services, Mr. Lee spent more than seven years as a Special Agent with the Federal government. During his tenure as a Special Agent, he investigated criminal and civil violations relating to fraud, money laundering, theft and embezzlement, public corruption, and tax evasion.

    Mr. Lee has prepared expert reports, affidavits and disclosures, and testified/presented as an expert in Federal, State, and Tribal jurisdictions.

    View Keegan, Linscott, & Kenon's Consulting Profile.
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    Lieberman Financial & Consulting Services, LLC
    Maurice Lieberman, CLU, ChFC, RHU, LUTCF
    127 Diablo Vista Court
    Concord CA 94520
    USA
    phone: 925-685-5444 or 925-768-4888 (Cell)
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    Maurice Lieberman, CLU, ChFC, RHU, LUTCF, has over 40 years of experience specializing in Insurance and Financial Planning.

    Mr. Lieberman holds three professional designations from the American College, Chartered Life Underwriter, Chartered Financial Consultant, and Registered Health Underwriter. He is a Life Insurance Training Council Fellow, and a member of the American College of Financial Services Professionals, Forensic Expert Witness Association, and the American College of Forensic Examiners International.

    Background Experience - Mr. Lieberman started as an insurance agent for Metropolitan Life and then advanced in his career to manage brokers. He successfully built agencies for Aetna, and Principal Financial Group. He was later promoted to Regional Director for New England Financial, and CSAA Life. Over the years he mentored hundreds of insurance agents, brokers, financial planners and agency managers to build their own successful careers and agencies. He was also a member of the Million Dollar Round Table and utilized his selling and management experience to train insurance agents, brokers and financial planners in advanced areas of estate, business insurance, and financial planning.

    Litigation Support - . Mr. Lieberman has utilized his financial planning and insurance industry knowledge to consult with attorneys for over the past 12 years. He consults with attorneys and assists council in trial preparation regarding issues of life insurance and annuity coverage analysis, coverage disputes, and company practices. He has been called upon to be an expert witness in insurance litigation cases for both plaintiff and defendant.

    Areas of Expertise:
    • Life Insurance Coverage Analysis
    • Annuity Coverage Analysis
    • Coverage Disputes
    • Company Practices
    • Life Insurance Products and Services
  • Contract Analysis
  • Regulations
  • Compliance
  • Best Practice Principles
  • Life Insurance Underwriting Procedures
  • View Maurice Lieberman's Consulting Profile.
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    2418 Teaberry Glen
    Escondido CA 92027
    USA
    phone: 858-395-8694
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    Charles L. Stanley CFP, ChFC, AIF, has over 25 years of experience as a Financial Advisor. A partner in WorthPointe, LLC, a Wealth Management firm with offices in San Diego, CA and Austin, TX, he provides investment advisory services to private clients, many of whom are Trustees and fiduciaries under the Uniform Prudent Investor Act.

    Litigation Support - Mr. Stanley has been providing expert witness and consulting services in cases relating to the Uniform Prudent Investor Act since 1998. As an Accredited Investment Fiduciary®, he has received special training in prudent fiduciary practices.

    Mr. Stanley applies over 25 years of experience as an Investment Advisor to trustees on behalf of attorneys who require clear, concise opinions on disputes between trustees and beneficiaries regarding the investment and management of trust assets as required under the Uniform Prudent Investor Act. His areas of expertise include Estates, Financial Matters, and Securities.

    Specialty Focus:
    • Uniform Prudent Investor Act
    • Prudent Investor Rule
    • Fiduciary Practices
    • Trust Investing
  • Trust & Estates Litigation
  • Fiduciary Duty / Fiduciary Practices
  • Lack of Diversification
  • Partial Treatment of Beneficiaries
  • View Charles Stanley's Consulting Profile.