expert witness / LITIGATION EXPERIENCE

FINRA Dispute Resolution Services - Arbitrator:

2021 - present (May 2025)

Consulting Expert for an Investment Management Company:

Contributed to the Statement of Claim
Active Case: 2023 – present (May 2025)

Testifying Expert and Consulting Expert for an Investment Management Company:

Provided Deposition Testimony
Prepared an Expert Report
Prepared a Declaration
Contributed to the Complaint
Active Case: 2022 – present (May 2025)

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

Prepared a Rebuttal Expert Report
Prepared an Expert Report
Prepared a Declaration
2020 - 2023

Testifying Expert for an Investment Management Company:

Case settled prior to FINRA Arbitration
2021

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