Expert Witness

How I can help

I provide expert witness in matters involving financial markets regulation, market surveillance, broker-dealer compliance, trading practices, supervisory systems, and regulatory controls. Drawing on extensive experience in securities regulation and compliance, I assist law firms, financial institutions, broker-dealers, and other parties in understanding and evaluating whether conduct, policies, procedures, and supervisory or surveillance systems were consistent with applicable regulatory requirements and industry practices. My particular area of expertise is the intersection of market surveillance, trading activity, regulatory compliance and banks and broker/dealers. I can assist in matters involving potentially manipulative or disruptive trading, surveillance systems and alerts, supervisory reviews, escalation and investigation processes, trading controls, market structure, order handling, best execution, trade reporting, books and records, and other issues arising under SEC, CFTC, FINRA, and exchange rules. Expert engagements may include evaluating the design and operation of compliance and surveillance programs (trade, communications, and information barrier); reviewing trading patterns and alert, policies and procedures, regulatory correspondence, investigative materials, and other relevant records; assessing the adequacy of supervisory and compliance controls; and explaining how securities regulations and industry practices apply to the facts of a particular matter. I can also assist counsel in identifying and analyzing regulatory issues, evaluating opposing expert opinions, preparing for depositions or hearings, and translating highly technical trading, surveillance, and compliance concepts into clear and understandable explanations for arbitrators, judges, regulators, and other decision-makers. Depending upon the engagement, my services may include initial case assessment, document and controls review, regulatory and industry-practice analysis, preparation of written expert reports or declarations, deposition testimony, and testimony in arbitration, regulatory, or court proceedings. I approach each engagement independently and objectively. My opinions are based on the facts and circumstances of the matter, applicable laws, rules and regulations, regulatory guidance, relevant industry practices, and my professional experience. My role is not to advocate for a particular outcome, but to provide expert analysis of issues presented.