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Personal Finance Expert Witnesses

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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
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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.

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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 W. Leggette
    Chief Actuary
    6828 Hyde Park Dr.
    Dallas TX 75231
    USA
    phone: 214-448-7146
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    Charles W. Leggette, Principal and Chief Actuary of Dallas Actuaries, Inc, is an active participant in governmental affairs for his profession, most recently serving on the United States Department of Labor, Regional Advisory Board.

    Mr. Leggette is a Fellow by examination of the American Society of Pension Actuaries. The Treasury Department Joint Board for the Enrollment of Actuaries has admitted him to practice before the Treasury and Labor Departments. In 1978, Mr. Leggette served as the Society’s representative on Jimmy Carter’s Presidential Committee on Pension Policy. He was appointed by the Treasury Department to the Joint Board for Enrollment of Actuaries Advisory Committee on Examinations. Mr. Leggette has served as Chairman of the Pension Actuarial Society’s Education and Examination Committee. In 1980, he was admitted to the American Academy of Actuaries. One year later, he was elected President of the American Society of Pension Actuaries.

    Charles Leggette has provided Litigation Support Services to attorneys representing Plaintiff and Defense for over 35 years. He is qualified to testify in both State and Federal court.

    Main Areas of Litigation Support:
    • Pensions - Design of Plan
    • Pension Admission Regulations
    • Compliance / Tax Issues
    • Pension Schemes
    • Insurance Related Matters
    View Charles Leggette's Consulting Profile.
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    David Ostrove, CPA, JD
    Attorney-CPA
    499 N. Canon Drive
    Beverly Hills CA 90210
    USA
    phone: 323-939-3400
    fax: 323-939-3500
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    David Ostrove Estate Tax Law Expert PhotoDavid Ostrove, CPA, JD, Mr. Ostrove is a certified specialist in Taxation Law, certified by the California Board of Legal Specialization of the State Bar of California since 1975. He is also a California Certified Public Accountant since 1957 and a California Lawyer since 1960.

    Mr. Ostrove is a Professor of Law and Accounting at Southwestern University School of Law in Los Angeles. He is a Past President of the American Association of Attorneys-Certified Public Accountants and a Fellow of the American College of Forensic Examiners.

    Mr. Ostrove has authored numerous books on topics within his field of expertise including, "Advanced Corporate Tax Problems"; "Fiduciary Accounting For Estates And Trusts"; "Forensic Accounting" (2 Volumes); "California Community Property - What The CPA must Know"; "Analyzing Financial Statements After Enron - What The Lawyer Must Know"; and "Accounting and Auditing For Trusts & Estates (DVD)." He is a lecturer for the California CPA Foundation, California Continuing Education Of The Bar (CEB), and the Arizona CPA Society.

    David Ostrove has been providing litigation support for 35 years. He has testified in numerous cases in both State and Federal Courts. Mr. Ostrove has been employed by lawyers representing defendants and plaintiffs. He offers expert witness testimony in cases involving Legal and Accountant Malpractice, Business Valuations, Tax Accounting Issues, and Economic Damages. He carefully analyzes the facts, law, and accounting principles and presents supportable, timely, clear opinions.

    Mr. Ostrove has been given legal authority to act as a Special Master. His services are also available for Mediation and Arbitration.

    Areas of Expertise:
    • Breach of Fiduciary Duties
    • Trustee and Executor Negligence
    • Accounting Malpractice
    • Legal Malpractice
    • Probate and Trust Issues
    • Business Valuation
    • Economic Damages
    • Forensic Accounting Fraud
    • Analysis of Financial Statements
    • Lost Profits Calculation
  • Breach of Contract
  • Tax Matters - Gift, Estate, Income
  • Reasonable Value of Services
  • Tax Litigation Services
  • Bankruptcy
  • Bad Faith
  • Insurance - Professional Liability
  • IRS Matters
  • Auditor Negligence
  • Tax Preparer Negligence
  • View David Ostrove's Consulting Profile.
    David Ostrove
    The definitive Fiduciary Accounting Seminar. Designed for CPAs, attorneys, trust officers, estate administrators, attorneys who serve as trustees, executors, administrators, conservators and guardians. Interactive DVD
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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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    Christopher G. Linscott, CPA, CFE, CIRA
    3443 N Campbell Avenue, Suite #115
    (See Eric A. Lee's Address Below)
    Tucson AZ 85719
    USA
    phone: 520-884-0176
    fax: 520-884-8767
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    Keegan, Linscott & Kenon, PC (KLK) is a full service accounting firm with over 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 over 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, 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 over 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.

    Eric Lee's Scottsdale / Phoenix Office
    8800 N. Gainey Center Drive, Suite 278
    Scottsdale, AZ 85258
    Phone: 480-374-6394
    Fax: 520-884-8767

    View Keegan, Linscott, & Kenon's Consulting Profile.
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    Mark S. Gottlieb, CPA/ABV/CFF, CVA, CBA, MST
    1430 BroadwaySuite #902
    New York NY 10018
    USA
    phone: 646-661-3800 ext. 117
    fax: 646-661-3801
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    Mark S. Gottlieb, CPA PC (MSG), is distinguished as one of the Tri-State's premier Business Valuation and Litigation Support Firms. Their practice is devoted exclusively to providing attorneys and their clients with a diverse continuum of Forensic Accounting, Business Valuation and Litigation Support Services. The dedication, insight, and attention to detail of their staff not only meet, but often exceed their clients' expectations.

    Every client obtains the personal involvement of a team of experienced professionals. Engagements are carefully planned and reviewed to ensure that they proceed in a timely and professional manner.

    Services Offered:
    • Business Valuation
    • Litigation Support
    • Forensic & Investigative Accounting
    • Record Reconstruction
    • Economic Damages & Analysis
  • Expert Testimony
  • Trial Preparation and Settlement Negotiation
  • Asset Tracing
  • Preparation of Net Worth Statements
  • Lifestyle Analysis
  • Mark Gottlieb Forensic Accounting Expert PhotoMark S. Gottlieb, CPA/ABV/CFF, CVA, CBA, MST, is an accomplished Forensic Accounting and Business Valuation Specialist with expertise in record reconstruction and litigation support. He is renowned for the meticulous preparation and comprehensive research he brings to all of his professional engagements. He is also frequently appointed by many distinguished judges to provide these services and provide expert testimony.

    Mr. Gottlieb has lectured extensively to many governmental agencies and professional organizations on accounting, tax, economic development, valuation/appraisal issues, and related topics. These agencies and organizations include the Internal Revenue Service, the New York State Department of Taxation and Finance, the New York State Department of Labor, and numerous New York State Bar Associations. Mr. Gottlieb has also served as an adjunct professor at New York Law School and the European School of Economics.

    Mr. Gottlieb is a member of many professional organizations including the American Institute of Certified Public Accountants, the New York State Society of Certified Public Accountants, the National Association of Certified Valuation Analysts, and the Institute of Business Appraisers.

    Mention you found our firm profile on Experts.com for a free, no obligation consultation.
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    2418 Teaberry Glen
    Escondido CA 92027
    USA
    phone: 858-395-8694
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    Charles Stanley Financial Securities Expert PhotoCharles 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.