Securities Expert Witnesses in Vermont
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Securities Experts in Vermont
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Securities & Trading Expert Witness
This highly-qualified securities expert has over 30 years of experience in equity securities and trading. He earned his BA from Saint Lawrence University and holds the Series 7, 9, 10, 24, 55, 63, & 99 licenses. He has held a number of distinguished roles, including the head of global equity sales at ABN AMRO, the CEO and COO of Harborside Securities, and the head of equities at Fidelity Capital Market Services. He has supervised and managed large and diverse sales and trading operations, and has a deep understanding of market structure, electronic trading, and alternative trading systems. Prior to his current position as the managing partner of a securities consulting firm, this expert served as both the chief operating officer and the chief compliance officer for Open Door Securities.
Founder, Financial tech consultancy in NJ
Bachelor of Arts (BA), Saint Lawrence University
Vermont
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FAQs for Securities Expert Witnesses
What is a securities expert witness?
A securities expert witness is a professional with extensive knowledge and experience in the field of securities, including stocks, bonds, and other financial instruments. They provide testimony in legal cases involving these matters.
In what types of cases can a securities expert witness be beneficial?
Securities expert witnesses are often used in cases involving insider trading, fraud, regulatory compliance, investment strategies, and disputes between brokers and investors.
What specific areas of expertise can a securities expert witness have?
Securities experts can specialize in various areas such as equity trading, derivatives, risk management, corporate finance, investment banking, and financial regulation.
How can a securities expert witness help in a case involving stock market manipulation?
A securities expert can analyze trading patterns, evaluate financial data, and use their knowledge of market practices to provide insight on whether manipulation occurred.
Can a securities expert witness assist in cases related to Initial Public Offerings (IPOs)?
Yes. An expert in securities can provide valuable insights into IPO processes, valuation methods, disclosure requirements, and potential violations of securities laws.
How does Expert Institute select its Securities expert witnesses?
Expert Institute offers a personalized approach to help you find the highest quality experts. We source actively-practicing professionals who match all your requirements for specialty areas, work experience, litigation history, fee range, certifications, location, and more.