Mutual Funds Expert Witnesses: 8

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

Bob Lawson,  AIF®, CFE®, MRFC®, LUTCF®, is a Securities & FINRA Expert Witness retained for FINRA arbitration, mediation, and federal/civil court litigation. Mr. Lawson possesses over 35 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 Managing Principal of Barrington Financial Consulting Group, Inc, a 12-person Securities Litigation and Consulting Expert firm.

In addition, Mr. Lawson serves as a FINRA Mediator and presides as a FINRA & NFA Dispute Resolution Chairman for disputes concerning investors, financial services professionals, broker-dealers, and dually-registered investment advisers. Claims often arise regarding breach of fiduciary duties, securities fraud, 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 an Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Master Registered Financial Consultant (MRFC), 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.

Bob is active in the following organizations:  Vice-Chairman - Master Registered Financial Consultants |  Mentorship and Practice Management Chair - Securities Experts Roundtable | Twin Cities Certified Fraud Examiners Association, Membership Chair - Minnesota State Bar Association ADR Section

Areas of Expertise:

• FINRA Expert Witness
• Securities Expert Witness
• FINRA Arbitration
• Breach of Fiduciary Duty
• Liability Expert
• Promissory Notes
• Securities Fraud Investigations
• Ponzi Schemes
• Options, Stocks & Bonds
• Due Diligence
• 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.

Frank Carr has extensive background and experience as an Investment Industry Employment and Compensation Expert Witness, especially Investment Management Firms, Mutual Funds, Hedge Funds, Wealth Managers, and Broker-Dealers. Mr. Carr is a former corporate banker, investment firm Chief Financial Officer and a 20 year veteran of executive search for the Investment Management industry. He has written articles for and has been frequently quoted by publications such as Bloomberg News, CNN Money, Fund Fire, Ignites, Absolute Return, Hedge Fund Alert, and Hedge Fund Manager Week. Prior to entering the executive search field, he was the Chief Financial Officer of a Connecticut-based hedge fund and Commodity Trading Advisor (CTA). Mr. Carr started his career in commercial bank lending, initially with Citigroup in their Wall Street Commodities division and later specialized in financing independent feature film producers, TV producers, and television station owners on behalf of European American Bank in New York. 

Litigation Support - Frank Carr is an Investment Industry Employment and Compensation Expert Witness who has been retained by both plaintiffs and defendants for American Arbitration Association, JAMS and FINRA arbitration, mediation, and federal court litigation. Mr. Carr has over 30 years of experience in Financial Services, Investment Management, and Banking and his areas of coverage include Traditional and Alternative Investments – Equities, Fixed Income, Mutual Funds, Hedge Funds, Private Equity, and Managed Futures. Specialist in Wall Street Divorce. 

Areas of Expertise:

Prior Expert Witness Assignments:

• Represented a hedge fund portfolio manager as an expert rebuttal witness in a high profile hedge fund employment/compensation lawsuit. Prepared a rebuttal opinion letter submitted to the United States District Court for the Southern District of New York.
• Represented a $12 billion Texas-based SEC Registered Investment Adviser and leading global alternative credit manager in a JAMS arbitration regarding a terminated employee. Prepared a rebuttal expert witness report and provided live testimony at the JAMS arbitration hearing.
• Represented a financial advisor in a FINRA arbitration against one of the top 5 U.S. wealth management firms. The scope of the opinion included projected career advancement, compensation analysis and calculation of lost earnings.
• Represented a portfolio manager/ investment analyst in a wrongful termination action against one of the largest U.S. Broker-Dealers with over $600 billion in assets. The scope of the opinion included projected career advancement and compensation analysis. Prepared an expert witness report and provided live testimony at the FINRA arbitration hearing.

Education - Mr. Carr is a graduate of Williams College where he received a Bachelor of Arts degree in Political Economy. He completed the Management Training Program at Citigroup in New York, including courses in accounting, finance, and capital markets. He has previously held FINRA licenses, Series 3, 6, and 63 and has completed Level I of the Chartered Alternative Investment Analyst (CAIA) program.

View Frank Carr's Consultant Profile.

Errold Moody, PhD, MSFP, LLB, has over 50 years of experience analyzing Personal Financial issues including real estate, stocks, bonds, limited partnerships, divorce, taxes, estate planning, retirement planning, ethics, social security, medicare, behavioral economics- literally all elements impacting an individual. 

Dr. Moody's current website, Financial and Economic Daily Commentary 2021, has been hailed by USA Today as, "...a high-powered personal bookmark list that spans the spectrum of the truly useful," and Forbes as a site, "...to find some great information." Dr. Moody's vast knowledge base comes from years of practice in the aforementioned fields and from having served for decades in the Instruction of:

• Licensing for Securities Licenses, (4, 7, 8, 24, 27, 52, 63, etc.);
• Real Estate courses for University of California Irvine, plus continuing education;
• Financial Planning courses for University of California at Irvine and Berkeley as well as others;
• Courses accepted by the California Bar for continuing legal education in Investing and Insurance- the first ever by a State Bar. 

Litigation Support - Dr. Moody has acted as a Securities Arbitrator for the NASD and as an Expert Witness numerous times over his career. He serves as a consultant researching and preparing reports for CPAs, attorneys, and individuals for real estate and investing and insurance issues, and has acted as a Financial Planner for individuals and businesses. 

Dr. Moody is an expert in Breach of Fiduciary Duty. His background experience allows for unparalleled skill at distinguishing the duty of a fiduciary - identifying potential Risk of Loss before purchase and then establishing how much risk the client would truly accept.

Dr. Moody cautions that the fundamentals of investing have never been taught to brokers or RIAs. He addresses this nebulous, confrontational, and error riddled element of investment and insurance risk in his three books, No Nonsense Finance, Financial Planning Fiduciary Standards under Dodd Frank, and The Failure of Securities Arbitration. 

Areas of Expertise:

"In my 30 years in the business, I have never seen an authoritative, objective, prudent expert speak so clearly on the use of insurance. What Errold can do is unique in the industry."  Steven Winks

View Dr. Errold Moody's Consulting Profile.

• 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

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.

Areas of Expertise:

• Lender Liability
• Depository Standard of Care
• Lender Standard of Care
• Check Fraud and Scams
• Fidelity Bond Claim
• Failed Bank Analysis

View Mr. Finn's Consultant Profile.

Mr. Campbell has over 30 years of financial industry experience.  He is the principal of a financial litigation and investment management consulting firm, Kerry Campbell LLC, where he serves as a financial expert witness during litigations and provides consulting services to financial institutions and investors.

He has worked in investment research and portfolio construction, as a Managing Director at Arden Asset Management, and as a Senior Vice President at Guggenheim Partners.  He has worked in prime broker risk management as a Managing Director at Bear Stearns.  Prior to that he worked as a commissioned registered representative, a funding officer and as a credit analyst/loan officer.

He is an Approved FINRA Dispute Resolution Arbitrator, a Chartered Financial Analyst^®, a CERTIFIED FINANCIAL PLANNER™, an Accredited Investment Fiduciary Analyst™ and a Securities Experts Roundtable Member.  He has held the following licenses: Series 7 – General Securities Representative, Series 55 – Equity Trader Representative, Series 63 – New York Uniform Agent and Series 65 – Uniform Investment Advisor.

Litigation Support - Mr. Campbell has served as the sole experience witness for the claimant in an $8.7 million award. (See: www.gerardfoxlaw.com/news/firm-news/gerard-fox-law-attorneys-earn-landmark-87-million-victory-against-wells-fargo-advisors-in-finra-arbitration-for-decorated-retired-ceo/. In addition, he has served as an expert witness for petitioners in State Court, for defendants in Federal District Court, for claimants and respondents in FINRA Arbitrations, and for claimants in offshore Federal Courts. He has been retained by institutional investors, high net worth investors, and large global diversified financial institutions. 

Areas of Expertise:

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: