Securities

Definition: Securities are instruments representing ownership (stocks), debt agreements (bonds) or the rights to ownership (derivatives) that can be assigned a value and traded.

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Securities Case Studies

144A Bonds Expert in Investment Banking
A 144A bonds expert was needed for an investment banking class action suit alleging auditing malpractice and breach of fiduciary duty.
Applied Investments Expert
An applied investments expert was needed for a breach of trust action alleging mismanagement of trust fund investments comprised of fixed income investments.
Auditing Expert in Hedge Fund NAV
An auditing expert with experience auditing hedge funds was requested for a case alleging negligence and breach of fiduciary duty.
Banking Industry Expert in Regulatory Compliance
A banking industry expert was needed to consult on banking regulations and industry standards for a securities fraud class action.
Brokerage Compliance Expert in Distressed Debt
A brokerage compliance expert with distressed debt experience was needed for an insider trading case.
Brokerage Management Expert in Securities Trading
A brokerage management expert with large brokerage firm and risk management experience was needed for a professional malpractice dispute.
Broker-Dealer Regulations Expert
A broker-dealer regulations expert with knowledge of short sale transactions was needed for a breach of contract case.
Corporate Finance Expert for Securities Fraud Case
A corporate finance expert was sought to calculate damages in a massive securities fraud case that alleged violations of federal and state securities laws.
Derivatives Expert in Equity Monetization
A derivatives expert in equity monetization was needed for professional malpractice litigation.

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Securities Experts

Annuities Expert
This annuities expert served as an annuity specialist for a global financial services firm and is a mediator and arbitrator for the NASD and NYSE.
Asset Backed Securities Expert
This asset backed securities expert is the principal of a financial services consulting firm focused on specialty finance.
Asset Securitization Expert
This asset securitization expert has over 40 years of experience in the management of securitization firms.
Audit Negligence Expert
This audit negligence expert has provided expert witness services on a variety of different types of litigation, including analysis of misleading financial statements.
Broker-Dealer Regulation Expert
This broker-dealer regulation expert has testified in securities litigation, arbitration, and regulatory proceedings.
Business Organization Expert
This business organization expert has more than 30 years of experience in corporate governance.
Chartered Financial Analyst Expert
This chartered financial analyst expert is an experienced expert witness and has testified in deposition and trial in 25 cases in federal and state courts and at the NASD and NYSE.
Commercial Lending and Securities Expert
This commercial lending and securities expert is a lawyer and accountant by training and has extensive senior level executive experience in securities matters, banking, commercial lending and consumer finance matters.
Commercial Mortgage Expert
This commercial mortgage expert has nearly two decades of financial experience with commercial and residential mortgages and capital markets.

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