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Securities Regulation Experts| The following experts are available as securities regulation consultants and securities regulation expert witnesses. Intota experts are peer-recommended authorities who have been carefully selected and rigorously screened. | |
| | Definition: Securities Regulation -
The supervision of securities which subjects securities to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system. |
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| 1 to 17
(of 17) | | | Securities Regulation Experts |
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Expert Quote | | |  | | Expert in Investments, Analysis of Market Indices and Securities, Derivatives Industries, Brokering & Dealing
Expert's expertise covers virtually all areas related to compliance, investment in stocks, private placements, options, fixed income, mutual funds, insurance products, futures, etc. Expert has been both a manager and an investment consultant with over forty ... See full profile | | California (CA), USA  | | | |  | | Expert in Sales, Trading, Accounting, Valuation of Financial Instruments-CMOs, bonds, stock, derivatives, etc
Expert has analyzed excessive markup, damage calculations, churning, suitability, misrepresentation, securities fraud, and money laundering and valuation fraud. Expert is an expert in the sale, trading, accounting, valuation and compliance of ... See full profile | | New York (NY), USA | | | |  | | Expert in Hedge Fund Operational Due Diligence, Private Equity, Fund of Hedge Funds, Audit, Fraud Analysis
Expert is the author of the first book on the subject of hedge fund operational due diligence. He has provided training to financial regulators and consulted with the U.S. House Judiciary Committee on hedge fund regulatoin. He is also an adjunt professor ... See full profile | | New Jersey (NJ), USA | | | |  | | Expert in Securities; Finance; Derivatives; Hedge Funds; Foreign Exchange; Investment Suitability; Banking
Twenty years experience as an expert witness in cases involving hedge funds, securities, investments, derivatives, currencies, mortgage backed securities, trading, securities fraud and Ponzi schemes. Testified in NASD arbitration, US District Court ... See full profile | | Connecticut (CT), USA | | | |  | | Expert in Economic Consulting
Expert helps clients effectively address complex challenges that arise from litigation, disputes, investigations, regulation, financial distress, and other sources of significant conflict or change. Expert helps clients improve the overall efficiency and ... See full profile | | Minnesota (MN), USA | | | |  | | Expert in Securities Services
Expert has an extensive knowledge about the securities services business and the Spanish financial market. He created a consulting firm in July 2008, to work as an independent consultant, advising local banks and brokers in Spain in the ... See full profile | | Madrid, Spain | | | |  | | Expert in Financial Services, Financial Management, Asset Allocation, Equities, Annuities, Investments
Expert has worked as a Financial Advisor with wirehouse (Morgan Stanley), regional (Edward Jones) and independent (Raymond James Financial) firms. He has also been registered with the SEC (1980) as a Financial Adviser and an executive with the IBM ... See full profile | | South Carolina (SC), USA | | | |  | | Expert in United Kingdom Financial Services Regulation and Compliance
Expert has worked in the financial services sector (investment, pensions, life assurance, mortgages, mutual funds, securities etc.) for more than 40 years. He has been a director (or equivalent) of every organisation he has worked for since the age ... See full profile | | United Kingdom | | | |  | | Expert in Hedge Funds, Mutual Funds, Securities Industry, Stock Market, Securities Fraud
Expert is a financial expert with more then fifteen years of Wall Street experience. He is nationally recognized as a strategist, futurist and commentator on Wall Street, the economy, and investment strategy. Expert specializes in providing ... See full profile | | New Jersey (NJ), USA | | | |  | | Expert in Securities and Derivatives Arbitration & Litigation; Expert Witness
Expert has been involved in ADR, which is generally "arbitration," with respect to disputes rooted in any phase of the securities investment and trading industry, since the late 1970's. See more at "arbitration. See full profile | | Illinois (IL), USA | | | |  | | Expert in Litigation Support, Sentencing Mitigationt, Expert Testimony, Due Diligence.
Law enforcement officials in this country are, by statute, vested with more authority than the President of the United States. Simply, they are the only individuals who can initially deprive a person of their personal freedom without due process and do so ... See full profile | | New Jersey (NJ), USA | | | |  | | Expert in Investment, Portfolio Management, Securities and Stocks
Expert managed investments on behalf ot pension funds, charities, insurance companies and high net worth individuals for thirty-five years. He was first invited to provide expert evidence in 1975, since when he has acted as an expert witness in more ... See full profile | | United Kingdom | | | |  | | Expert in International Taxation, Auditing & Assurance Services
Promoted first green field project for UB Group/Chabbria Group in India, Commercialised Broadcasting Corporation in Zambia successfully and turned the department into commercially viable organization; Advising MNCs in International Taxation and ... See full profile | | India | | | |  | | Expert in Financial Technology, Risk Management, Market Surveillance
Expert's primary consulting and research interests involve the practical application of mathematics, statistics, and computer technology to risk management problems in trading, operations, and compliance. He teaches in the department of Finance and ... See full profile | | New York (NY), USA | | | |  | | Expert in Finances & Financial Planning Forensics, Real Estate Disputes, Bankruptcy Litigation, etc.
Over 35 years of hands-on experience as a financial and real estate consultant to various title companies, corporations, CPA's, attorneys, partnerships, credit unions, non-profit organizations and individuals. For the last 25 years, major focus has been ... See full profile | | California (CA), USA | | | |  | | Expert in Insurance, Annuities, Securities, Arbitration, FINRA, TIC's, Stocks,Bonds, M.F.'s, Compliance
Consultant in litigation and arbitration, nationally (22 states), involving securities, insurance and annuities. 235 arbitrations (600+ retentions), since 1990, before the NASD, AAA, NYSE, PSE and 54 mediations. Expert, RFC, is an NASD Arbitrator ... See full profile | | California (CA), USA | | | |  | | Expert in Security Negligence, Premises Liability, Financial Investigations, Locating Hidden Assets
Expert provides over 12 years of experience as a security expert and fraud examiner to attorneys, corporations, financial institutions, insurance companies, investors, and private professionals. In addition, Expert is a noted speaker, educator, and ... See full profile | | Florida (FL), USA | | |  |
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