banner ad

Mutual Funds Expert Witnesses

Sort Non-Featured Profiles by
Check for SynapsUs
Norman Katz
Managing Partner
18881 Von Karman, Suite 1175
Irvine CA 92612
USA
phone: 949-263-8700
fax: 949-263-0770
MCSAssociates_logo.jpg
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
  • Check for SynapsUs
    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
    Barrington-Capital-Management-Logo.jpg
    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.

    Check for SynapsUs
    Michael K. Smith, NFA, FINRA
    Bozeman MT USA
    phone: 630-531-1000
    Michael-Smith-Financial-Services-Expert-Photo.jpg
    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
    Check for SynapsUs
    Daniel Reser
    President
    369-B Third Street, #543
    San Rafael CA 94901
    USA
    phone: 415-482-9513
    daniel-reser-logo.jpg
    Daniel Reser is a trusted Fiduciary and Registered Investment Advisor. 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.

    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. He has been a corporate fiduciary for corporate securities and reorganization transactions as well as trustee and custodian of retirement plans for over 25 years. 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.

    Areas of Expertise:
    • Leveraged and Unleveraged ESOP Transactions
    • Acquisitions and Sales of Employer Stock by Company Retirement plans
    • Company Stock in Other Qualified Plans
    • ERISA Sec. 404 (c) protection for Employer Stock
    • Pass-through Voting and Tender Offer Decision Making
    • Management and Divestiture of Shares
    • Satisfying Independent Fiduciary Requirement for Meeting Prohibited Transaction Exemption in Connection with Settlement of Litigation Per P.T. Exemption 2003-39 of 12-31-03
    • Orphan Plans
    • Rabbi trusts
    View Consulting Profile.
    Check for SynapsUs
    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.
    Check for SynapsUs
    Groton MA 01450
    USA
    phone: 617-872-2307
    Valentine-Law-Logo.jpg
    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.
    Check for SynapsUs
    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.