Consulting and Testifying Expert Services
Courts have recognized that securities regulation lies beyond the knowledge of the average layperson—and even many legal professionals — and that expert testimony from someone with a specialized understanding of what constitutes a security and how securities are regulated offers judges and jurors critical context for evaluating whether certain conduct violated the law. As Judge Learned Hand once observed that “[t]he whole object of an expert is to tell the jury, not facts, as we have seen, but general truths derived from his specialized experience.”
I have served as both a testifying and consulting expert in civil, criminal, and administrative proceedings involving state and federal securities laws. In that capacity, I have prepared expert reports, testifying before juries and grand juries, and advising legal teams for state regulators, prosecutors, and criminal defendants. I have also contributed to the development of trial strategies for enforcement and prosecution teams.
My credibility and effectiveness as an expert witness are well established—and often shapes how opposing counsel approaches the matter, including whether to seek to limit or exclude my testimony.
Expert Witness Services Include:
Preparing written expert reports and delivering testimony in civil, administrative, and criminal proceedings involving securities laws.
Providing legal teams with technical interpretations of state and federal securities laws and insight into regulatory frameworks.
Conducting formal analyses of registration requirements, exemption availability, and alleged securities fraud.
Learn more about my professional ethics and expert witness standards here.