Securities Finance Expert Witnesses: 9

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:

• Securitizations
• Derivatives
• Securities Law and Corporate Finance
• Loans and Credit Facilities
• Due Diligence

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:

• 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

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:

1. International Tax Planning
2. Corporate Structuring, Maintenance and Trusts
3. International Contracts Law
4. Jurisdictions
5. Residency and Citizenship
6. International Banking
7. Logistic Support
8. Government Licenses
9. Aircrafts and Vessels
10. Intellectual Property 

CS&P Operates In More Than 80 Countries Around The World.

John T. Foster is the President and CEO of Bedford and Main Financial Consulting, which provides specialized consulting services primarily for broker-dealers and RIAs. Bedford and Main is listed in the FINRA Compliance Vendor Directory. 

Mr. Foster calls upon his in-depth knowledge of broker-dealer management, operations and compliance to offer expert opinions and testimony. He has testified for both sides of the legal table in civil cases and FINRA arbitrations, promoting high standards of fairness for broker-dealers. 

Mr. Foster specializes in clearing services and industry infrastructure litigation, along with Anti-Money Laundering (AML) issues for broker-dealers. Prior to founding Bedford and Main in 2011, he worked for 13 years in level positions for a large, multi-national clearing firm, allowing him to develop expertise with foreign accounts and anti-money laundering issues. He later served as the President/CEO of an independent broker-dealer, where he was responsible for a retail-based business and online brokerage services. The experience provided John with a uniquely relevant understanding of core SEC and FINRA compliance issues, such as suitability, supervision, senior issues, churning, and written supervisory procedures. He is proficient in matters related to client and firm interactions with both Financial Advisors and Online firms.

Advantages of our litigation services:

• Senior Level Experience - Decades of diverse high-ranking management experience in the broker-dealer industry.
• Previously held Series, 3,7,24, 27, 63.
• Still Actively Engaged – John's expert witness business is a natural extension of his core consulting services. He is a CAMS Certified Anti-Money Laundering Specialist who annually conducts many independent AML reviews. John is also certified as a FINRA Dispute Resolution Arbitrator

- It would not be possible to hold to our standards of supporting the industry if we were not selective as to specific issues and our ability to ethically provide an expert opinion.

Areas of Expertise:

View John T. Foster's Consulting Profile.

Bob Lawson,  CSCP,  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 firm.

In addition, Mr. Lawson serves as a FINRA Mediator and presides as a FINRA & NFA Arbitrator, Chairman -Qualified 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 a Certified Securities Compliance Professional (CSCP), 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: 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 and Charter Financial Analysist (CFA) Society.

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.

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

Education:

• Princeton, 1964 (B.A., Economics, with honors)
• NYU Business School, 1966 (MBA, Top of class)

Expertise: Mr. Purcell has over 50 years of experience in every area of investment banking including the following:

• Mergers & Acquisitions
• Leveraged Buyouts and Recapitalizations
• Fairness Opinions and Fairness Issues
• Adequacy Opinions
• Solvency Opinions
• Bankruptcy issues, including fraudulent conveyance
• Valuations
• Advice to Special Committees of Boards
• Due Diligence and Disclosure Issues
• Fiduciary Issues
• Damage issues and analysis
• Lender Liability
• Fee issues
• Document Interpretation and Standards from investment banking point of views
• Criminal cases involving alleged securities violations and insider trading
• Financing of Debt and Equity (both public and private, taxable and tax-exempt, including structured financings)
• Venture Capital
• Leasing and Real Estate Financing

Background: William H. Purcell has been an Investment Banker for over 50 years. He was a Managing Director at Dillon Read for almost 25 years and has been a Senior Advisor to a number of medium-sized investment banks. Mr. Pucell has been a Senior Advisor and Director of Seale & Associates since 2001, an investment bank in the Washington DC area. He also has served as interim CEO of a public company and has served on Boards of Directors. 

Mr. Purcell is currently Senior Director to the Investment Banking Firm of Seale & Associates, Washington, DC. area. Mr. Purcell has been an expert in more than 200 cases with over 180 Law Firms, including cases for the SEC, IRS and the DOJ. Has testified in court trials and arbitration trials over 40 times. He represents both plaintiffs and defendants. Subjects include all areas mentioned above.

 View Consulting Profile.

Daniel A. Strachman, CDDA, is a Financial Services Expert working on Wall Street for more than 25 years in various capacities. Mr. Strachman is Managing Director of A&C Advisors LLC, a firm that provides strategic advice and counsel along with fund governance services to the investment management industry. He serves as a director to both on-shore and off-shore investment vehicles and is a registered director under the Directors Registration and Licensing Law, 2014 of the Cayman Islands. 

Litigation Support - Mr. Strachman served as an expert witness in a number of investment management litigation cases focused on fund marketing, redemption policies and structuring. A FINRA Registered Neutral Arbitrator, his services are available to attorneys for plaintiff and defendant.

Area of Expertise:

Background Information - Mr. Strachman has worked at firms including Apex Funds Services, Morgan Stanley, Cantor Fitzgerald and Orbitex Financial Services Group. He is the Co-Founder of the Investment Management Due Diligence Association, an independent educational organization focused on setting best practices for both operational and investment management due diligence around the globe. 

Mr. Strachman, an accomplished writer specializing in finance, has written extensively about the investment management industry and is the author of nine books including: The Fundamentals of Hedge Fund Management, (Wiley 2007), “Second Edition” (Wiley 2012), Getting Started in Hedge Funds, First Edition (Wiley 2000), “Second Edition” (Wiley 2005) and “Third Edition” (Wiley 2010), The Long and Short of Hedge Funds, (Wiley 2008), and Essential Stock Picking Strategies (Wiley 2002), which was named by Barron’s as one of the ten best investment books of the year. He is also the author of Julian Robertson: A Tiger in the Land of Bulls and Bears (Wiley 2004). His articles have appeared in The New York Post, The Financial Times, The Boston Globe, as well as various trade publications around the world.

Mr. Strachman is formerly an adjunct professor at Rutgers University Business School where he taught graduate level courses on corporate finance and investment analysis. He has appeared on CNBC, Bloomberg, National Public Radio and the BBC. He is formerly an adjunct professor at New York University’s School of Continuing Education and has lectured at the New York Society of Security Analysts. He is a graduate of Clark University.