Expert Witnesses & Forensic Consultants Directory
Securities & Commodities
Securities expert witnesses, profiled in this directory, may consult on matters of directors' fiduciary duties, alleged material misrepresentations, false or misleading statements, fraud-on-the-market, antitrust violations, demand futility, tolling, duty to disclose material trends or uncertainties, valuations of energy and commodity assets, energy and commodity market manipulation, breach of contract claims, mergers, and related matters. These securities experts may also provide expert witness opinions on matters involving alleged violations of Rule 10b-5, Section 11, or Section 12 s, 102(e) proceedings, asset-backed securities, collateralized debt obligations, investor challenges of M&A transactions, pleading scienter, standstills and "Don't Ask, Don't Waive" provisions, shareholder derivative claims, securities regulation, securities fraud and related matters. These experts in securities and commodities futures may also testify in matters involving public offerings, debt securities (bank notes, bonds, debentures), fixed income securities, mortgage-backed securities, equity securities (stocks and derivative contracts [forwards, futures, options, swaps]), derivative instruments, divestitures, hedge funds, employee stock options and pension investment, preferred stock, commodity trades in food products, energy (oil, gas) and metals, managed futures, surety bonds, FINRA (Financial Industry Regulatory Authority, Inc.), NASD (National Association Of Securities Dealers), and related matters.- United States
- All65
- Alabama2
- Alaska2
- Arizona2
- Arkansas2
- California19
- Colorado6
- Connecticut4
- Delaware2
- District of Columbia2
- Florida9
- Georgia2
- Hawaii2
- Idaho2
- Illinois4
- Indiana2
- Iowa3
- Kansas4
- Kentucky2
- Louisiana3
- Maine2
- Maryland4
- Massachusetts4
- Michigan3
- Minnesota3
- Mississippi2
- Missouri2
- Montana2
- Nebraska2
- Nevada2
- New Hampshire4
- New Jersey3
- New Mexico2
- New York11
- North Carolina3
- North Dakota2
- Ohio2
- Oklahoma2
- Oregon2
- Pennsylvania2
- Rhode Island2
- South Carolina2
- South Dakota2
- Tennessee3
- Texas6
- Utah2
- Vermont2
- Virginia2
- Washington2
- West Virginia2
- Wisconsin3
- Wyoming2
- Canada
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Jerry DeNigris — Riverside Financial Group, LLC
Securities industry (30+ yr) expert provides security/trading analysis, suitability reviews and compliance style active account reviews in broker/dealer litigation, including: calculations and analytical methods in prepared reports; performance analysis;
Cranford, NJ
Areas of Expertise:
Securities & Commodities
Tel: (908) 272-5558
Limited public information. For more, contact us.
Stuart A Ober, CFE, AIFA — Securities Investigations, Inc.
Specializes in due diligence investigations and investment evaluations, particularly those relating to securities offerings, real estate, oil and gas, equipment leasing, and research and development. Provides expert witness opinions and trial testimony.
Woodstock, NY
Areas of Expertise:
Securities & Commodities
Tel: (845) 679-2300
Limited public information. For more, contact us.
Kerry Campbell, CFA®, CFP®, AIFA®
Breach of Fiduciary Duty, Negligence, Failure to Supervise, Misrepresentation, Breach of Contract, Suitability, Liability, Fraud, Churning, Investment Allocation, Portfolio Management, Investment Manager Due Diligence, Hedge Funds, Trading Analysis, Damag
Staten Island, NY
Damage Analyses and Valuations Expert — Donald M. May, PhD, CPA
Managing Partner, DMA Economics LLC, 30+ yr. in consulting, valuation and litigation support, in a broad range of damage analyses and valuations, incl. trade secrets, trade dress, LBOs, accounting misstatements, securities fraud, and M&A disputes.
New York, NY
Areas of Expertise:
Economic Damages
Tel: (212) 390-0595
Limited public information. For more, contact us.
Leslie Seff — Matthew B. Management, Inc
Provides consulting services with respect to trading issues in the NASDAQ, Listed, and ECN environment. Securities industry professional and trading issues expert able to vet hedge funds, and expose Ponzi schemes and manipulative trading.
New York, NY
Craig A. Wolson, Finance and Derivatives Consultant/Expert Witness
Attorney (35+ yr) specializes in structured finance/securitizations, derivatives, securities, joint ventures, mergers and acquisitions, asset-based lending, secured lending, project finance, computer contracts and general corporate transactions.
New York, NY
Steve Pomerantz, Ph.D. — Steve Pomerantz LLC
Qualified expert witness in securities-related matters in matters involving: mutual fund fees; derivatives risk and valuation; investment strategy analysis; economic damages; investment industry practice; investment suitability; tax shelter analysis; etc
Brooklyn, NY
Areas of Expertise:
Finance & Investments
Tel: (609) 273-3286
Limited public information. For more, contact us.
Charles Porten, CFA, MBA — CZP Associates
Chartered Financial Analyst, experience within broker-dealer, registered investment advisor and bank trust environments, provides expert witness opinions and trial testimony in securities and investment litigation.
Rye Brook, NY
Linda Allen, PhD
Professor of Banking and Finance, 20+ yr expert witness experience in financial analysis, economic damages, risk assessment and securities valuation, in securitizations, executive compensation, option valuation, CDS payouts, mergers and acquisitions
Oceanside, NY
Areas of Expertise:
Securities & Commodities
Tel: (516) 766-5369
Limited public information. For more, contact us.
Joe Achenbaum, MBA — Kerlin Capital Group, LLC
Investment banking and financial industry (35+ yr) consultant provides litigation support in matters related to mergers and acquisitions, private debt and equity securities and restructurings. Experienced expert witness.
Stamford, CT
Areas of Expertise:
Investment Banking
Tel: (203) 322-1933; (213) 627-3300
Limited public information. For more, contact us.
Dr. David DeRosa — DeRosa Research and Trading
Financial Economist and derivatives trader provides expert witness and litigation support services in financial and investment matters, incl: foreign exchange; derivatives; margin, credit, collateral; ISDA and master trading agreements; swaps, swaptions,
New Canaan, CT
Areas of Expertise:
Securities & Commodities
Tel: (203) 801-4340
Limited public information. For more, contact us.
Terry Gardner — Gardner Capital Advisors, Inc.
Expert in matters pertaining to investment research, equities, and securities, including regulatory and compliance matters and banking information technology. Former CIO and COO, Deutsche Bank’s Global Securities Research Division.
Bay Shore, NY
Areas of Expertise:
Securities & Commodities
Tel: (631) 647-5741
Limited public information. For more, contact us.
Donald A. Walker, Jr., MBA, CPA
Forensic Litigation Consultant, Testimony and Expert reports, 17 yr with SEC, specializes in SEC investigation issues and reporting matters, in civil and regulatory accounting malpractice cases, International Financial Reporting Standards, audit standards
Bedford, NH
Alan J. Besnoff, CFP, ChFC, CLU
Alan J. Besnoff, CFP, CLU, ChFC provides litigation consulting services and expert testimony in: Securities, Life Insurance and Annuities, Supervisory Standards, FINRA Rules, and CFP Standards in customer disputes, and U-5 Defamation intra ind issues.
Fremont, NH
Law Office of Peter F. Flynn
Broker/Dealer and Investment Advisor provides expert witness services in matters related to Securities and Exchange Commission (SEC), State and self-regulatory rules and regulations.
Boston, MA
David Tilkin — Tilkin Group
Securities Industry Expert, 30 yr, experienced in brokerage management, acts as an expert witness in matters of securities and investments, fraud, brokers, mutual funds, private placements, stocks, bonds, FINRA, SEC, NASD, options, JAMS, AAA.
Cohasset, MA