John D. Maine
Securities Expert Witness
1,700+ retentions. 750+ testimonies. 42+ states.
Board Member and Executive Vice President of a major Wall
Street firm.
Securities Expert Witness
1,700+ retentions. 750+ testimonies. 42+ states.
Board Member and Executive Vice President of a major Wall
Street firm.
in deposition, arbitration, and trial testimony.
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.
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, compliance requirements, and financial instruments.
Comprehensive securities knowledge spanning traditional brokerage disputes to complex financial instruments.
Some commonly asked questions.
I have a B.A. from Dartmouth College and have completed extensive industry training and certifications. I have held Series 7, 63, 65, and 24 registrations during my Wall Street career, and served as a Registered Principal. My 26-year career culminated as Board Member and Executive Vice President of Smith Barney (now Morgan Stanley Wealth Management).
Over 1,700 retentions in more than 30 years as an expert witness.
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.
A selection of the law firms that have retained John as a securities expert.