Securities Expert Witness
Three Decades of Securities Expertise
1,700+ retentions. 750+ testimonies. 42+ states. Board Member and EVP of a major Wall Street firm.
Securities Expert Witness
1,700+ retentions. 750+ testimonies. 42+ states. Board Member and EVP of a major Wall Street firm.
Deposition, arbitration, and trial testimony across 42+ states in FINRA, AAA, state, and federal forums.
Board Member and Executive Vice President of a major Wall Street firm.
Retained by both plaintiff and defense counsel. Opinions are grounded in the facts and documents of each case, and they hold up under scrutiny.
Every case is prepared as if reputation depends on it.
Complex securities concepts made understandable to judges, juries, and panels without talking down. The ability to educate while persuading is what separates good experts from great ones.
Current on evolving regulations, market structures, and compliance requirements.
In securities litigation, credentials matter, but track record matters more. With over three decades as an expert witness and more than a quarter century rising from stockbroker to Board Member at a major Wall Street firm (Smith Barney, now Morgan Stanley Wealth Management), John brings perspective that can't be learned from textbooks.
Comprehensive securities knowledge spanning traditional brokerage disputes to complex financial instruments.
Answers to the questions counsel needs before retention.
John holds a B.A. from Dartmouth College and has completed extensive industry training and certifications. He held Series 7, 63, 65, and 24 registrations during his Wall Street career, and served as a Registered Principal. His 26-year career culminated as Board Member and Executive Vice President of Smith Barney (now Morgan Stanley Wealth Management).
Over 1,700 retentions across more than 30 years as an expert witness. These include matters for major national firms, regional practices, and individual practitioners representing both plaintiffs and defendants.
Matters involving churning and excessive trading, suitability, unauthorized trading, misrepresentation, breach of fiduciary duty, supervisory failures, margin accounts, variable annuities, registered investment advisor issues, complex products such as ETFs and MLPs, inter-firm disputes, and employee disputes, among others.
Over 750 testimonies including depositions, arbitration hearings, and trial testimony. Experience across 42+ states in FINRA arbitration, AAA arbitration, state court, and federal court proceedings. This extensive experience means no surprises under cross-examination.
A selection of the law firms that have retained John as a securities expert.