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 Expert  732550

Expert in Alternative Investments, Portfolio Construction, Asset Management, Financial Advisory Services, Hedge Funds, Private Equity Funds, Venture Capital


Available for your Consulting and Expert Witness Needs

Connecticut (CT)
USA
Education Work History Career Accomplishments Consulting Services Expert Witness

Summary of Expertise:

Listed with other top experts in: 

Experienced Expert Witness with specialized knowledge in hedge funds, private equity, alternative investment products, and financial services. Clients include asset managers, traders, alternative investors, family offices, financial institutions and wealth management firms. He evaluates, creates, and understands investments in hedge funds, managed accounts, and private equity. He has acted as an expert witness on multiple litigation cases, 100% of which have settled beneficially. He has over 25 years in executive roles in the US, London, Hong Kong and Tokyo. Since 1982, he has held senior management positions in asset management and trading at Credit Suisse, UBS, Merrill Lynch and JP Morgan Chase. His skills were developed while trading fixed income and equity derivative products and structuring/managing large portfolios of alternative investments (many created via managed accounts) in amounts as large as $6B, hiring administrators, lawyers, accountants and auditors to assist in product developments.

Expert has had over 50 separate consulting appointments across the fields of fund management, asset management, hedge funds, private equity funds, venture capital, compliance, process and procedures, asset allocation, portfolio management, administration, operations, trading, sales, and marketing.

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investment management

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portfolio management

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hedge fund

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private equity fund

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asset management

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asset allocation

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expert witness

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alternative investment


Show Secondary and Basic Areas of Expertise
Localities:
Expert may consult nationally and internationally, and is also local to the following cities: New York, New York;  Yonkers, New York;  Newark, New Jersey;  Jersey City, New Jersey;  Paterson, New Jersey;  Elizabeth, New Jersey;  Bridgeport, Connecticut;  New Haven, Connecticut;  Hartford, Connecticut;  and Springfield, Massachusetts.

Education:
Year   Degree   Subject   Institution  
1982   MBA   Finance   University of Chicago  
1978   BA   Mathematics / Economics   Denison University  

Work History:
Years   Employer   Department   Title   Responsibilities

2009 to

 

(Undisclosed)

 

Investment Management

 

Partner

 

Expert manages 7 professionals performing compliance, due diligence, investment advisory and financial services on $3.6B; he also serves as a specialist in hedge funds, private equity and other alternative investment products. Expert witness on Alternative Investments in 7 legal cases.

2003 to 2009

 

Weston Capital (pka Mayer & Expert Capital Advisors)

 

Investment Management

 

Chief Investment Officer

 

Expert managed more than $2.6B in hedge fund and private equity fund portfolios for multiple institutional clients. He was head of investment committee, and oversight committee.

2000 to 2003

 

Credit Suisse

 

Investment Management

 

Head of Investment Group

 

He managed multiple investment portfolios in excess of $6B with a dozen professional staff. He generated significant P&L for the asset management area of the bank.

1991 to 2000

 

UBS LLC

 

Trading and Investment Management

 

Executive Director

 

Expert was a senior trader who built a stable platform upon which business could expand profitably. He assisted in 6 merger processes. Responsibilities also included hedge fund trading and business development, PERLES product innovation, and sales-trading management. Expert expanded derivatives trading and sales operation, created structured products, and implemented changes to policies and procedures.

1989 to 1991

 

Merrill Lynch International

 

Derivatives Trading

 

Director

 

Expert's responsibilities included interest rate and currency derivatives trading for multiple European countries.

1982 to 1989

 

JPMorgan Chase

 

Derivatives Trading

 

Director

 

His responsibilities included rate and currency derivatives trading in Japan and Pan-Asian countries.


Career Accomplishments:
Licenses/Certifications

FINRA Licenses Series 7, 63, 79

Professional Appointments

Board memberships: • 2006-2009 Private equity, early-stage investment fund ($300m under management), Head of fund investment committee. • 1995-2000 Hedge fund ($550m under management), Chairman of board for Dublin, Ireland-based, off-shore investment vehicles. • 1992-1997 Swiss bank pension fund ($1+ billion under management), Chairman of pension fund Investment Committee 1995-1997.


Government Experience:
Years   Agency   Role   Description
2016 to   USA / SEC   Consultant and Expert Witness   Industry expert report, consultation, deposition and testimony preparation

Consulting Services:
Selected Consulting Examples:
  • Expert has had over 50 separate consulting appointments across the fields of fund management, asset management, hedge funds, private equity funds, venture capital, compliance, process and procedures, asset allocation, portfolio management, administration, operations, trading, sales, and marketing.
Click the green button above to contact Expert for a free initial screening call regarding your expert consulting needs.  Expert is available for consulting to corporate, legal and government clients.  Remember, your initial screening call to speak with Expert is free.

Expert Witness:
Expert Witness Experience Summary:
Depositions and Testimonies • Highline Capital Management, LLC v. High Line Venture Partners, L.P., et al, United States District Court for the Southern District of New York, Civil Action Case No. 15-CV-660 (VEC); expert report filed, prepared for deposition; settled, December 2015. • Redeemer Committee of Highland Credit Strategies Fund v. Highland Capital Management, LP, Case No. 13-512-0180813 and Case No. 13-20-1300-1808, American Arbitration Association, NY; expert report filed, rebuttal report filed, testimony prepared; case in process of arbitration settlement, December 2015. • GoldenTree Asset Management LP v. Teamsters Pension Trust Fund of Philadelphia & Vicinity, United States District Court for the Southern District of New York, Case # 14-CV-8951 (CM) (HBP); expert report filed, questioned in preparation for deposition; settled, September 2015. • Hawkeye Partners, LP, Scout Fund I-A, LP, and Scout Fund I-C, LP v. Garrison Investment Management LLC, and Garrison Investment Group LP, Ref. No. 1425013109, Judicial Arbitration and Mediation Services; expert report filed, questioned at preliminary hearing; settled, October 2013. • FBI (Federal Bureau of Investigation), U.S. Department of Justice, and the U.S. Attorney's Office, U.S.A. v. Florian Wilhelm Jeurgen Homm, Case No. 13-MJ-00740, U.S. District Court, Central District of California, Los Angeles; Securities and Exchange Commission v. Ficeto, 11-CV-01637, U.S. District Court, Central District of California, Los Angeles, questioned in preparation for trial as fact witness expert in an international, asset management, conspiracy case of securities fraud and wire fraud; March 2013. • Rothschild Capital Partners, LP, et al. v. Gorfine, Schiller & Gardyn, P.A., et al., Circuit Court for Baltimore County, MD, Case No. 03-C-11-007033; expert report filed, testified at deposition; settled, November 2012.

Research and Reports for Asset Management Litigation • U.S. Securities and Exchange Commission; performed analysis and provided research on cases relating to valuations of securities, investment process and procedures, and compliance procedures relating to asset management, multiple cases, May 2012 – January 2014.

Analysis for Securities Trading Litigation • U.S. Securities and Exchange Commission; research and analysis performed on case involving cross trading, insider dealing, and securities mismanagement, March 2013.

Click the green button above to contact Expert for a free initial screening call regarding expert testimony, litigation consulting and support, forensic services, or any related expert witness services.  A few litigation needs include product liability, personal injury, economic loss, intellectual property (patent, trademark, trade secret, copyright), and insurance matters.  Remember, your initial screening call to speak with Expert is free.

International Experience:
Years   Country / Region   Summary
1984 to 1985   Japan   Head of Derivatives Trading
1985 to 1989   Hong Kong   Head of Derivates Trading
1989 to 1998   England   Investment Management and Trading

Language Skills:
Foreign Language   Description
Spanish   Somewhat proficient, but not fluent
French   Academic language, not fluent

 

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