Banking Industry Expert in Regulatory Compliance

Case Description:

A banking industry expert was needed to consult on banking regulations and industry standards for a securities fraud class action. Shareholders of a large corporation sought economic damages and alleged that the actions of the defendant, an international bank, were not in regulatory compliance. Shareholders maintained that the defendant engaged in derivatives transactions contrary to banking industry regulations and was therefore liable for damages.

IMS ExpertServices was asked to locate a banking industry expert with extensive experience in banking regulations and knowledge of derivatives transactions. The expert was needed to provide forensic analysis of the derivatives transactions and opine on regulatory compliance with federal banking industry regulations. While prior expert witness testimony experience was preferred, expertise in banking industry regulatory policies was of primary importance.

Experts Presented:

  • Regulatory Compliance

    This regulatory compliance expert's impressive credentials include a lengthy term as Senior National Bank Examiner for the US Treasury Department. He's held senior executive positions with many of the giants of the banking industry. Currently he works as a consultant to the banking industry and as a litigation consultant on actions relating to credit underwriting, due diligence, and standard industry practices. He is extremely knowledgeable about regulatory compliance practice for the banking industry. His years of experience in the financial services sector have provided first hand experience with derivatives transactions. IMS Reference #5009981

  • Banking Industry Procedures

    A veteran of the banking and financial services industry, this banking industry procedure expert's career spans more than thirty years. He worked for large commercial banks and as a Bank Examiner for the Federal Reserve Bank. He now works as a consultant to the banking industry specializing in such areas as banking industry standards, banking policies and procedures, and fraud. Beyond his knowledge and experience in the banking industry, he has been qualified as an expert witness in state, federal, and bankruptcy courts. A seasoned expert witness with considerable expert testimony experience, he is sought for his ability to communicate complex banking procedures and policies effectively to juries. IMS Reference #12167

  • Securities Law

    This securities law expert earned his J.D. from an Ivy League school and served as a regulator for the Federal Home Loan Bank system. His practice concentrates on securities and commercial litigation as well as financial services and banking matters. His experience with derivatives transactions and securities law includes handling securities matters alleging misconduct in the sale of derivatives, swaps, and options. He has worked on securities arbitration and litigation against broker-dealers by defrauded investors, and represented corporate executives involved in fraud litigation. Highly respected in the banking industry, his pieces on bank regulatory policy are frequently published in American Banker. IMS Reference #5009931

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Industry: All, Banking