banner ad

Mark Gottlieb Forensic Accounting Expert Ad
 
Visit Spiegel website
 
Deposition Designation Station
 

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
    Max G. Ansbacher
    President
    4535 44th Street
    3G
    Sunnyside NY 11104
    USA
    phone: 918-293-6767
    Max-Ansbacher-Securities-Expert-Photo.jpg
    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
  • ERISA
  • 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
    Check for SynapsUs
    Bob Lawson, Securities Expert & FINRA Arbitrator
    Securities Fraud Investigator
    3800 American Boulevard West
    Suite 1110
    Bloomington MN 55431-4460
    USA
    phone: 800-741-0704
    fax: 952-835-1504
    Barrington-Capital-Management-Logo.jpg
    Bob Lawson Wealth Manager Expert PhotoCertified Fraud Examiner LogoBob Lawson, AIF®, CFE®, RFC®, LUTCF is a Securities Expert Witness and Wealth Manager serving both claimants and respondents in FINRA arbitration, mediation and court settings. Bob Lawson has over 32 years of experience with securities, investments, insurance, and commodities as a financial adviser, supervisor, and managing principal. He has conducted over 500 presentations, classes, and workshops on financial matters for industry professionals, adult education, and retail investors. He is an articulate and persuasive presenter with a thorough understanding of FINRA and SEC Rules and Regulations. He proudly serves as an Accredited Investment Fiduciary, ERISA (3)-21 Investment Fiduciary, Certified Fraud Examiner and Qualified Neutral under Rule 114 of the Minnesota General Rules of Practice. - Arbitration & Mediation.

    Bob’s expertise lies in meticulously analyzing compliance manuals, correspondence, exchange rules, industry norms, and internal policies which are relevant to the particular case. He understands the ethical issues that frequently arise and will identify specific rules, laws, and regulations from Federal, State, and SRO’s where violations may have occurred.

    Bob is uniquely positioned to to assist investment adviser and broker-dealer clients, as well as State and Federal Regulators, with matters throughout the litigation life cycle from a pre-litigation complaint, mediation, through testifying at a hearing.

    Bob is focused on providing exceptional written reports, depositions, direct testimony, cross-examination, and litigation support. He has completed specialized expert witness and fraud training from prominent organizations and experts on relevant subject matter.

    Firms that retain him will receive unbiased advice supported by extensive and detailed research and not subjective hypothetical theories.

    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
    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
    Carl W. Gilmore
    President
    601 S. La Salle St.
    Suite 200
    Chicago IL 60605
    USA
    phone: 312-894-1041
    Carl-Gilmore-Futures-Securities-Expert-Photo.jpg
    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.
    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.