Investment Adviser Expert Witnesses in Connecticut
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Alternative Investment Management Expert Witness
Connecticut
This C-level financial executive has 35+ years of experience in investment banking, capital markets, private equity, and business development. He is an expert in the global alternative investment industry with a BS from Boston University, an MBA from Stern at NYU, and the Level I CAIA certification. He is also a regular speaker on the international alternative investments conference circuit and...
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Investment Adviser Expert Witness FAQs
An investment adviser expert witness provides insight and testimony in legal cases involving financial matters, such as securities fraud, portfolio management, and fiduciary duties.
They are crucial in cases involving financial disputes, securities litigation, broker misconduct, asset allocation, and investment strategy evaluations.
Subspecialties include retirement planning, wealth management, risk assessment, hedge funds, mutual funds, and tax planning.
The expert can assess whether the adviser acted in the best interest of the client, adhered to industry standards, and properly disclosed all relevant information.
Understanding SEC regulations is vital as they set the standards for investment practices. Violations can lead to severe penalties and form the basis of many legal disputes.
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