Securities Investment Compliance Expert

Case Description:

A securities investment compliance expert was needed for a class action securities fraud dispute involving a financial services investment company. The dispute involved allegations that plaintiffs suffered monetary losses due to breach of fiduciary duty, fraudulent misrepresentation, and investment portfolio mismanagement.

IMS ExpertServices was asked to locate a securities investment compliance expert with significant experience in investment management, including variable annuities and hedge funds. This expert was requested to have knowledge regarding securities and financial industry standards and practices, including regulatory compliance and disclosure requirements.

Experts Presented:

  • Securities Investment Expert

    With over two decades of experience as a practicing corporate and securities attorney, this securities compliance expert has extensive experience in investment and securities. He has worked for major national law firms representing clients in all aspects of the financial services industry, formerly served as vice-president of a leading insurance and investment group, and served as senior counsel for a nationally recognized investment bank. This expert’s clients include U.S. registered investment companies, hedge funds, investment advisers, and broker-dealers. This expert has extensive experience in structuring investment fund and regulatory filings with the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other regulatory agencies. This expert is a frequent speaker and contributor at financial industry events and a recognized thought leader in the investment management industry. This expert holds and J.D. and a B.A in Political Science. Reference #4992647.

  • Hedge Fund Trading Expert

    With over twenty years of experience in the financial investment industry spanning a variety of institutional investment roles, this expert has extensive experience designing investment portfolios for corporate and public clients, with focus on alternative investment portfolios and due diligence in client investments. His was previously a shareholder in a private investment consulting firm which served clients holding a combined $1 trillion in assets and over $50 billion in alternative investments. He is currently associate director of curriculum for a nonprofit, global investment analyst professional organization where he focuses in areas such as hedge funds, private equity, and structured products. This expert has taught university level courses in hedge funds, finance, investments, and portfolio management, and has authored a number of publications on topics such as hedge funds, financial regulation and compliance. This expert holds a Ph.D. in Management Science with an emphasis in Finance, an M.B.A., and a B.A. IMS Reference #5012166

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