Securities Finance Consultants, Page 1

William H. Purcell has over 50 years of experience in Investment Banking, Mergers and Acquisitions, and other Finance Issues. He is currently a Senior Director at Seale & Associates, a boutique investment bank with both U.S. and foreign clients. Seale is focused on Mergers and Acquisitions, Corporate Finance Advisory, and Strategy Consulting.

Mr. Purcell's past client coverage includes such companies as Anheuser-Busch, Hoechst Celanese, Volkswagen, and Metropolitan Life to name a few. He was also appointed CEO of a publicly-traded company going through bankruptcy proceedings. Additionally, Mr. Purcell has been a director on several corporate boards. Through his relationship with Seale & Associates, Mr. Purcell has affiliations with professors at The George Washington University Business School and the University of Virginia Business School. He has been an occasional guest lecturer in investment banking and finance at George Washington University and Monmouth University.

Consulting Services Include

Mergers and Acquisitions - LBOS and Recapitalizations
Fairness Opinions
Adequacy Opinions
Solvency Opinions
Valuations
Damage Issues
Fiduciary Issues
Advice to Special Committees of Boards and Trustees
Due Diligence and Disclosure Issues
Financing of debt and Equity - Public and Private
Leasing and Real Estate Financing

View Expert Witness Profile.

• View Mr. Purcell's Curriculum Vitae

• Complete Biography

• Selected M&A, Financing, and Advisory Transactions

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 40 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
Loan 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

• View Litigation Consulting & Expert Witness Partial Client List

• View Banking, Real Estate, Insurance, & Financial Services Partial Client List

Barrington Capital Management, Inc. provides customized financial solutions for unique financial challenges and objectives. Their expertise is in the development, implementation and ongoing management of a customized and diversified investment strategy. Barrington's mission is to assist in building, enhancing, and protecting personal wealth and maintaining financial security.

President and Chief Executive Officer, Bob Lawson, has over 35 years of financial services experience as an Investment Advisory and Insurance Agency Executive, Securities Principal, and Options Principal. Bob proudly serves as an industry arbitrator for the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA), a Certified Fraud Examiner (CFE), ERISA (3)-21 Fiduciary, Master Registered Financial Consultant, and an Accredited Investment Fiduciary. In addition to teaching advanced investment strategies and Retirement Planning classes throughout the year.

Bob Lawson has special expertise in stock options and has presented the following Options Industry Council (OIC) seminars to retail and industry professionals throughout the United States:

Options Basics
Options Intermediate
Advanced Options

Covered Calls
Options Spreads
Option Volatility

View Bob Lawson's Expert Witness Profile.

• Bob Lawson's Curriculum Vitae

• Keynote Speaker

• Articles of Interest

• Video - Barrington Capital Management Story

• Video - Barrington Capital Management Difference

• FINRA & NASD Rules Resource Guide

7/11/2017 · Securities

Expert's Corner: Selling Away - Broker-Dealer Liability for Selling Away Transactions and the Responsibility of Supervisory Personnel

By: Bob Lawson

In the securities brokerage industry, "selling-away" refers to the prohibited practice of an Associated Person effecting or soliciting the sale of securities or investment products not held or approved with whom the broker is affiliated without prior written consent. FINRA regulators have seen a steady flow of selling-away cases over the years involving registered representatives who are being targeted by issuers, promoters and marketing agents to sell their nontraditional investment products to their retail customers. In many instances, promoters of these products are marketing them as non-securities products that do not have to be sold through a broker-dealer by a registered person. In a significant number of cases, associated persons have sold these investments to their customers away from the broker-dealer and without firm approval as required by FINRA Rule 3270. Selling-away often occurs in an independent branch or a satellite office, where Associated Persons are removed from the day-to-day oversight and supervision of their brokerage firm's compliance department.

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9/23/2015 · Finance

FINRA Dispute Resolution Essentials

By: Bob Lawson

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.

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8/26/2015 · Finance

FINRA Code of Arbitration and Discovery Guidelines

By: Bob Lawson

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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3/15/2019

Securities Expert Witness Bob Lawson is the Newest Board Member at MFRC

"Experts.com Member and Securities Expert Witness Bob Lawson Takes on Additional Board Role at the MFRC"

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.

• View Carlo Scevola's Biography

• View CS&P Team Biographies

• Subscribe to CS&P RSS Feed

• CS&P Operates in over 80 Countries - View jurisdictions

• CS&P International Office Locations

Offshore Jurisdictions Guide

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.

Daniel Reser has been a Corporate Fiduciary for corporate securities and reorganization transactions as well as Trustee and Custodian of Retirement Plans for over 25 years. 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.

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. 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.

Independent Fiduciary Consulting Transactions:

Mergers and Acquisitions
Restructuring of Capital and/or Debt of the Company
Spin-Offs
Recapitalizations
Pass-Through Voting
Tender Offers
Leveraged, Un-Leveraged and Multi-Investor ESOP Buy-Outs
Hybrid Securities

Fiduciary Roles and Responsibilities:

Determine Fair Market Value of a Company's Shares
Evaluate Transactions from a Financial Point of View
Advise the Fiduciary During Negotiations and Structuring of Transactions
Render Necessary Opinions of Fair Market Value and Fairness and Provide Suitable Documentation

View Expert Witness Profile.

• View Mr. Reser's Full Biography

• View Mr. Reser's Presentation Regarding The Role of an ESOP Trustee or Fiduciary

• Press Release

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: