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Security is a type of transferable interest representing financial value. Traditionally, securities have been categorized into debt and equity securities, and between bearer and registered securities.

Executive Expert Witnesses:

Cle Elum, WA, US

Securities Litigation Consultants, LLC

Mr. Weaver has an active practice as an expert witness to the financial securities industry, representing attorneys for both broker/dealers and consumers in routine and complex securities matters.

Professional Expert Witnesses:

Southlake, TX, US

Southlake Capital Advisors, Inc.

44 years experience in securities investments.

Minneapolis, MN, US

Edward S. Adams is an internationally recognized expert in the areas of accounting, bankruptcy, corporate finance/securities, mergers and acquisitions, and commercial law who holds an endowed chair in finance and law at the University of Minnesota Law School and teaches courses at both the Law School and in the graduate MBA program at the Carlson School at the University of Minnesota. In 1997, Ed co-founded a business consulting and advisory practice which through acquisition and organic growth evolved from two to over two hundred employees with $30 million in annual revenue in less than six years. During his tenure at the firm, Ed advised clients on numerous business issues and raised money and completed transactions in the amount of hundreds of millions of dollars. As an attorney, business advisor, consultant and principal, Ed has billions of dollars of transactional experience in public and private offerings of equity and debt (including limited partnerships and joint ventures), mergers and acquisitions of public and closely held corporations, loan restructurings, receivables financing, structured finance, commercial transactions and bankruptcy liquidations and reorganizations. Ed has served on numerous private and public company boards of directors and acted as Chairman of the Noteholders Committee of one of the largest steel industry bankruptcy reorganizations in American history.

Oak Forest, IL, US

Rigley Capital Markets, LLC.

Over 80 years combined Banking and Finance Experience, Rigley Capital Markets has the expertise and network to address any of your banking needs. We specialize in Capital Markets, Lending, Underwriting, Processing, Securitization, Servicing, and Asset Management. Our team of experts is ready to help at any time.

Charleston, SC, US

Amsterdam Advisors

Roy Owen has a professional career spanning over thirty-five years in management consulting, asset management, financial markets, and structured finance, as well as non-profit management and public policy work on both a compensated and pro bono basis.  He is a retired partner in Deloitte Consulting/Deloitte & Touche, where he worked in the firm’s financial services, real estate capital markets, and bankruptcy and reorganization services practices, with postings in both the U.S. and Asia.  He continues to work as an independent consultant and manager, primarily in financial services and capital markets, with an emphasis on litigation consulting and expert witness engagements. Roy’s private sector activities include financial institution restructuring and recapitalization; credit risk management organization, policies, procedures, and technology; asset management and loan servicing policies, procedures, and technology; corporate restructuring and bankruptcy services; litigation management, litigation consulting, and expert witness testimony;  productivity and performance measurement and reporting; and development of programs for closing the gaps between current practice and international best practices at client organizations. Roy participated in building Deloitte’s real estate capital markets practice in New York and nationally in the early and mid-1990’s, delivering services to a combination of investment banks, commercial banks, life insurance companies, investors, and law firms, and served as the lead real estate specialist on the multi-industry management team of Deloitte’s national Reorganization Services Group.  Following the onset of the Asian Financial Crisis in 1997, Roy posted to Thailand and stayed in Southeast Asia as a partner on Deloitte’s expanding East Asia financial services industry team (Singapore, Thailand, Malaysia, Indonesia, Hong Kong, Peoples Republic of China, and South Korea), focusing on credit risk management and customer relationship management. He organized and built the Deloitte Consulting start-up office in Bangkok, serving as the initial Deloitte Consulting country manager and building a multi-industry staff (telecommunications, manufacturing, health care, public sector, and financial services) to 60 by the time of his departure.  Subsequent to Deloitte, Roy built and managed the special servicing businesses of two rated CMBS special servicers and served on the board of a U.S. company with principal operations in the U.K. and Europe, providing commercial and residential mortgage loan servicing and asset management to third-party clients. Roy served as a charter member of the board of the Commercial Mortgage Securities Association, developing standards for this emerging sector of the U.S. capital markets in the early 1990’s, and has continued to work with the successor Commercial Real Estate Finance Council on capital markets reform initiatives following the financial crisis of 2007. Roy has a Master’s in Business Administration from Stanford University’s Graduate School of Business and a Bachelor of Science in Aerospace Engineering from the Georgia Institute of Technology.  

New York, NY, US

Shandelee Trading, LLC

Options, Securities, Futures and Derivatives specialist. 28 years experience in the financial industry with specialized expertise in all facets options, futures and derivatives;

Irvine, CA, US

MCS Associates

Expert Witness and Litigation Services are a major focus of MCS Associates, a nationally recognized consulting group that has provided management, operational and regulatory consulting services to financial institutions, insurance companies and regulatory agencies as well as real-estate and financial services organizations nationwide for over 30 years. We perform expert witness assignments throughout the United States and the firm’s clients include several hundred leading law firms around the country.

Alameda, CA, US


Victor P. Republicano, Jr., CPA, is an accounting and consulting practitioner, who has provided professional services to business owners, corporate management, lawyers and their clients, since 1977.

Lakeville, CT, US

Ezra Zask Advisors, LLC

Securities and finance including currencies, derivatives, hedge funds, expert witness and litigation support

Associate Expert Witnesses:

Woodstock, NY, US

Securities Investigations, Inc.

EW #2720 has over 33 years securities industry experience. Suitability, due diligence and disclosure issues, selling away, fiduciary responsibilities, standard of care, fraud, partnerships, supervision and compliance and damage calculations.

Los Angeles, CA, US

Financial Education Network Development (FEND)

Expert Witness/Consultant in litigation and arbitration involving securities, life insurance and annuities.  311 arbitrations since 1990 before the NASD, FINRA, AAA, NYSE, JAMS, PSE and 75 mediations.  He has qualified and has testified as a Securities Industry Expert Witness before both Federal and State Courts in CA.

Red Hook, NY, US

While in New York I had an extensive background with Merrill Lynch; compliance experience, arbitration experience with knowledge of securities, annuities, arbitration, and much more.  My group of expert witnesses, mostly retired Merrill Lynch attorneys and line managers, in addition to myself, offer case preparation and expert testimony in almost all areas of the securities industry. In addition, many of our experts are arbitrators themselves. We also possess annuity and life insurance expertise which is unique to testimony candidates. Analytics can be provided by Secure Financial Services. We will work with either claimant/respondent in case preparation and testimony.  Extensive background with Merrill Lynch; compliance experience, arbitration experience with knowledge of securities, annuities, arbitration, and much more.

Rye, NY, US

.:. Keegan & Company LLC .:.

Harvard Doctoral and MBA degree. Distinguished Professor of Marketing and International Business. Widely published globally recognized authority. Author of leading marketing textbooks.

Phoenix, AZ, US

Investors Information Center

Washington, DC, US

Everest Management, Inc.

35 Years Expertise is financial strategy serving world's laregest financial institutions as Consultant for McKinsey and own firms, as corporate officer, and as Expert Witness

Alpharetta, GA, US

Securities Industry Consulting Group

Consultant and Expert Witness in matters relating to Securities Industry issues, especially in the area of Compliance.

Scarsdale, NY, US

20 years experience in personal injury/wrongful death, antitrust and other commerical litigation including damages for breach of contract and valuation .

Bedford, TX, US

Securities, Futures, Derivatives Expert Witnesses. 20+ yrs as consultants in investment and trading litigation. Broker/customer disputes-stocks and bonds, options, commodity futures, currency trading.

Milwaukee, WI, US

W. McGinnis Advisors, LLC

EW #13672 has 20+ years as a securities analyst / portfolio manager and a background in investment banking and accounting. Cases: investment suitability, stock fraud, research fraud, etc.

Port Alberni, BC, CA

Optimal Investment Services

I have led the implementation of International Accounting Standards since 1999 on behalf of USAID and the Asian Development Bank

Haddonfield, NJ, US

Hempstead & Co. Inc.

Valuations of businesses, corporate securities and intangibles. Loss-of-business damages analysis. Established 1977. Staff designations include ASA, CFA, CPA and MBA.

Mundelein, IL, US

Walsh, Pfeffer & Co.

30 years expertise in most facets of investor / broker relations, specialized expertise in derivative instruments - options, commodities, futures, clearance procedures, and margin call policies.

New York, NY, US

Steve Pomerantz LLC

The firm provides economic and investment management consulting, economic damage assessment and litigation support on cases involving: investment management fees and practices; tax shelters; securities and investment-related damages; investment performance and suitability; event studies; asset allocation analysis and options; derivatives and swap valuation.

Boynton Beach, FL, US

Ed Bard And Co

Testified as an accounting and business valuation expert for the IRS and the Justice Department. Extensive experience in federal taxation.

Westcliffe, CO, US

Invest Securities Consulting, Inc.

Mr. Schulz is a securities consultant and expert witness working for both claimants and the brokerage industry.  He has testified regularly as an expert in federal and state courts, as well as in arbitrations before the National Association of Securities Dealers (NASD/FINRA), the New York Stock Exchange (NYSE), and the American Arbitration Association (AAA). 

Rancho Santa Fe, CA, US

Andrew Barile Consulting Corporation, Inc.

Insurance and reinsurance consultant/ 35 years of experience.

Southport, NC, US

Performance Leadership

With over 25 years at Merrill Lynch as an FA, branch office & district manager, & FVP of the Office of Investment Performance, his expertise, credibility, and knowledge is second to none.

Peoria, AZ, US

Taurus Investments Analysis Services, LLC

Former Principal and Compliance officer; Arbitration panel member, chair, and witness; former Chair NASD District 3 DBCC; Investigative, Analytical, and Writing skills. P&L Analysis/Illustrations.

North Brunswick, NJ, US

HilBren Consulting Services Inc.

We are professional Computer Consulting firm with over 29 years of experience.

Ventura, CA, US

Law Offices Of Boyd S. Lemon

Retained expert in over 500 legal malpractice and atty fee cases (plaintiffs and defendants); practicing over 35 years, emphasizing trial and business and real estate transactions; major law firms.

Minneapolis, MN, US

Walden Resources

EW #1336 is the author of more than 20 best-selling books on stocks and investing, and he specializes in broker-client relationships, securities, corporate financial analysis, and related investment issues.

Austin, TEXAS, US

Larry Bradford, CPA

Certified and has over 25 years experience in litigation involving business valuations, economic damages, asset tracings, breach of fiduciary duty in a wide variety of industries.

Riverdale, MI, US

Boardroom INSIDER

Author and consultant on corporate boards and proper governance procedures

Hayward, CA, US

Bridgeway Corporation

They are experts in all facets of investor/broker relations with additional expertise in compliance, Asset Protection and securities arbitration.

Bainbridge Island, WA, US

Internationally recognized compensation expert. Leading author, speaker, instructor, consultant

Lake Mary (orlando), FL, US

American Investigative Specialists

EW #14083 has over 10 years of experience in litigation support, trial preparation, and expert witness testimony to both Plaintiff(60%) and Defense(40%) attorneys on Fraud and Security cases.

Princeton Junction, NJ, US

Securities Arbitration Support Group

Expert preparation of work product and exhibit ready documents, such as trading P & L, churning analysis, matched trade analysis. Flat fee or hourly rate plus reimbursable expenses

Auborn Hills, MI, US

Technology Investment

The company originates new lease transactions, performs remarketing services, buys and sells equipme

Boca Raton, FL, US

Andrea Joyce Wagner And Coletta L. Dorado

40 years combined Securities Industry Experience, Litigation Consulting, Expert Witness Testimony, critical Initial Account Analysis,Comprehensive Damage Analysis; Fraud, Supervision...

Larchmont, NY, US

CapMarket Consulting

Expert Witness Financial Service Litigations; NASD Arbitrations. Expert in Securities Trading & Pricing, Derivatives, Investment Management, Suitability, Controls, Hedging, Financial Risk Management

Norman, OK, US

Comprehensive Consulting Incorporated

Testifies in cases involving lost profits, business valuations, lost earnings and benefits, wrongful death, life care planning and breach of fiduciary duty.

Bay Shore, NEW YORK, US

Gardner Capital Advisors, Inc.

Expert in matters pertaining to investment research, equities, and securities.

Boston, MA, US

Kenneth D. Gartrell

EW #2754 provides consulting services and expert testimony on economic, financial, regulatory and strategic issues to corporations, law firms and public agencies worldwide.

Alexandria, VA, US

Alexandria Financial Associates, Ltd.

Nationally recognized Certified Financial Planner

Chicacgo, ILLINOIS, US

Chicago Group Trading LLC

EW #2718 is a global expert in derivatives exchanges, including their associated technology. This includes cases involving securities activities, securities fraud, broker and trade litigation.

Nationwide, , US

We'll find you the best expert and the search is FREE OF COST. We're a seasoned expert services firm that delivers superior experts through custom search, with unrivaled accuracy.

Winter Park, FL, US

Statement Analysis

With over 30 years of industry experience, our company provides consultation focused on the assessment of in-depth profit & loss statements and expert witness services.

New York, NY, US

Marks Paneth & Shron LLP

EW # 4035 consults with litigators and provides expert testimony. His areas of concentration include securities litigation, accounting malpractice and forensic investigations.

Houston, TX, US

Burton Financial Services

35 years experience in investment banking, corporate finance, public offerings, securities, mergers and acquisitions. 21 years with Goldman Sachs and available nationally for expert witness or litigation consultancy.

Pasadena, CA, US

Mercy Steenwyk, Director

Your technical and scientific expert resource since 1991 that can give you the TECHNICAL ADVANTAGE and the COMPETITIVE EDGE in your cases. Highly quality experts in hundreds of disciplines. Thousands of satisfied clients. Competitive rates.

Pasadena, CA, US

ForensisGroup, Inc.

The Experts of Experts since 1991! Forensic Business - Construction - Engineering - Medical - Scientific - All Professional and Technical Disciplines.

Highland Park, TEXAS, US

born and raised in Waco, Texas graduate of Baylor University with majors in Economics and Finance Married 49 years

Category Taxonomy / Tags:

Category Keywords:

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More Details:

Security is a type of transferable interest representing financial value. Traditionally, securities have been categorized into debt and equity securities, and between bearer and registered securities.

The uses that are made of securities have changed over time, both for the issuer and for the holder. Though the purpose of capital raising has sometimes been taken to be a defining characteristic of securities, its uses have expanded greatly in modern times.

They are often represented by a certificate. They include shares of corporate stock or mutual funds, bonds issued by corporations or governmental agencies, stock options or other options, other derivatives, limited partnership units, and various other formal "investment instruments." Banknotes, checks, and some bills of exchange do not fall into this category. Transferable interest in commodities like oil, food grains or metals can also be referred to as securities. One can enter into contracts to buy or sell various quantities of commodities in various commodity exchanges. These become transferrable interest in the particular commodity

Find SECURITIES experts and consultants for SECURITIES litigation support. Available to be SECURITIES expert witnesses and provide SECURITIES forensic consulting in SECURITIES litigation, in addition prepare SECURITIES expert witness reports for use in deposition and/or in-court trial testimony.