expert witness / LITIGATION EXPERIENCE

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

An integral part of the legal team formulating, testing, and documenting arguments
Prepared a Rebuttal Expert Report
Prepared an Expert Report
Prepared a Written Declaration
Active Case: February 2023

Consulting Expert for a Global Investment Management Company:

An integral part of the legal team formulating, testing, and documenting arguments
Contributed to the filed Complaint
Active Case: February 2023

Testifying Witness for an Investment Management Company:

Part of the legal analytical research team
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 full SEC Order