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Securities Regulation Experts

The following experts are available as securities regulation consultants and securities regulation expert witnesses.  ORC 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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Join our distinguished experts for securities regulation jobs, projects and consulting opportunities.


1 to 18
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Securities Regulation Experts
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Expert in Stocks, Bonds, Mutual Funds, Derivatives, Futures, SEC Violations
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 ... See full profile

California (CA), USA

Expert in Wealth Management, Asset Management, Retirement Plan Design, FinTech, Investment Management
Expert is a financial services industry professional and consultant with 25 years of experience at some of the top financial services firms, Series 7 recognized by FINRA, and CRPC licensed. Throughout his financial career, he has consistently built ... See full profile

New York (NY), USA

Expert in Patents, Copyrights and Intellectual Property, Technology, Financial Services, Health Care
In 30 years of application development and support Expert has worked on a wide range of local, wide area and global networking projects. This has required a high degree of expertize in technologies created around TCP IP. The software has supported a ... See full profile

New York (NY), 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 Business Law and Securities Transactions
Expert practices securities and corporate law. She represents both private and public companies, as well as investment bankers and broker/dealers. Her experience includes entity selection and formation matters for businesses just getting started, contract ... See full profile

California (CA), 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 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 twenty 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

Florida (FL), 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, Structured Products, 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, since when he has acted as an expert witness in more than four ... 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 Civil Aviation Security, Security Screening Equipment, International Sales, US Government Sales
Expert has a twenty nine year, progressively responsible career in the implementation of complex security sales and management scenarios as well as an inventor of new checkpoint security screening concepts. He is experienced in all phases of the ... See full profile

Maryland (MD), 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 Safety, Security, Fraud Prevention, Foreseeability, Standard of Care, Causation, Risk Management
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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