expert witness / LITIGATION EXPERIENCE

FINRA Dispute Resolution Services - Arbitrator:

2021 - present

Consulting Expert for an Investment Management Company:

Contributed to the filed Statement of Claim
Active Case: March 2023

Expert Witness and Fact Witness for a Global Financial Services Company:

Prepared a Rebuttal Expert Report
Prepared an Expert Report
Prepared a Declaration
Active Case: March 2023

Fact Witness and Consulting Expert for an Investment Management Company:

Prepared a Declaration
Contributed to the filed Complaint
Active Case: March 2023

Testifying Witness for an Investment Management Company:

Case settled prior to FINRA Arbitration

Key Witness in the MFS Investments SEC Enforcement Action:

Firm Failed To Adequately Disclose Use of Mutual Fund Brokerage Commissions To Pay for "Shelf Space" at Brokerage Firms:

Deposed and offered in-person testimony at the SEC (Division of Enforcement) in Washington, D.C.

Link to SEC Order