Expert Witness Consulting & Testimony

  • Retained approximately 1700 times, given testimony on approximately 700 occasions in over 40 states.
  • Testified in State and Federal courts in various jurisdictions, in arbitration proceedings, in mediations and in SRO disciplinary hearings.

John D. Maine, Securities Expert Witness

Topics

Qualified to present expert testimony, representative but not inclusive —

  • Alternative investments
  • Annuities
  • Auction Rate Securities
  • Back office procedures
  • Broker forgivable notes
  • Churning and excessive trading
  • Commissions and mark-ups
  • Damages
  • Due Diligence
  • Employment issues
  • Hedge Funds
  • Hedging strategies for concentrated positions
  • High Yield Bonds and other complex debt instruments
  • Inter-firm hiring disputes and raiding
  • Limited Partnerships
  • Managed Money
  • Municipal Bonds
  • Mutual Funds
  • Options trading
  • Private equity / Private placements
  • Registered Investment Advisor issues
  • Regulatory disciplinary matters
  • REITs & TICs
  • Retirement strategies
  • Rule #144 and other control stock issues
  • Suitability
  • Supervision and Compliance
  • Trading away
  • U-4 and U-5 filings

See About.