When Your Case Needs Someone Who's Actually Been in the RoomMost expert witnesses learned about financial advice from textbooks and regulations.
I learned it by executing every trade, witnessing client conversations, and implementing portfolio decisions for a practice managing $400M+.That's the difference I bring to your case.

What Makes This Different

I worked inside an advisory practice — not as an auditor or outside consultant, but as the person implementing the strategy daily.I know what advisors say in meetings versus what they tell clients. Why certain investments appear in portfolios. What gets documented versus what gets done.I've seen both sides of the markets. I’ve sold products to institutions and provided liquidity when retail investors needed to exit. I understand pricing dynamics, execution quality, and liquidity traps that catch retail investors.I translate complexity into clarity. For twenty years I’ve explained financial products to institutions, advisors, and retail clients alike. I can make a jury understand what happened — and why it matters.

Where I Add Value

Product & Suitability Cases

Structured notes, principal-protected securities, buffered ETFs, complex derivatives, annuities, illiquid fixed-income—I've traded them, analyzed them, and watched advisors sell them. I know when they make sense and when they’re just high-commission products dressed up as solutions.

Structured notes, principal-protected securities, buffered ETFs, complex derivatives, annuities, illiquid fixed-income—I've traded them, analyzed them, and watched advisors sell them. I know when they make sense and when they’re just high-commission products dressed up as solutions.

Advisor Conduct & Compensation

Fee disclosure failures, undisclosed conflicts, Reg BI violations, suitability breaches—how compensation structures drive recommendations and how unsuitable products get rationalized.

Operational & Documentation Failures

The gap between written policies and actual practice. What should have been documented but wasn't. Why certain operational misses indicate larger control problems.

Trading & Execution Issues

Mark-ups / mark-downs, execution quality, and spreads in thin markets. I've been on both sides and know where problems hide.

Background That Matters

Investment Manager — Ameriprise Private Wealth Advisory Practice (2022–2025)
- Implemented trades for $400M+ in discretionary assets
- Evaluated products for investment committee approval
- Monitored portfolio fit to client objectives
- Observed documentation and operational workflows in practiceFixed Income Sales & Trading (1998–2013)
- Lancaster Pollard: Municipal underwriting, institutional sales, derivatives
- Huntington Investment Company: Fixed-income trading desk
- UBS: Institutional sales & new issue distribution
- National City Bank: Trust portfolio trading
- Fidelity Investments: Retail execution & client serviceEducation & Credentials
- B.A., Psychology — Miami University
- FINRA Series 7 & 66 (maintained through 2025)
- Ohio Life & Health Insurance License (maintained through 2025)

What I Don't Do

I don't provide:
- Securities valuation or damages calculations (that’s your damages expert)
- Forensic accounting or econometric analysis
- Tax, estate planning, or legal opinionsI explain what happened, why it happened, and whether it meets industry standards.

How I Work

Case Assessment: I review files, identify issues, and tell you if I can help—honestly.Written Reports: Data-driven analysis with regulatory context and clear, defensible reasoning.Testimony: I explain complex industry practices in plain language that juries understand.Consulting: I help counsel interpret advisor conduct, investment documentation, and industry standards.

Engagement Terms

File Review & Consulting: $350/hour
Deposition: $450/hour (4-hour minimum)
Trial Testimony: $500/hour (4-hour minimum)
Retainer: Required for new engagements
Conflicts: Tracked and disclosed prior to engagementAvailable for plaintiff or defense representation.

For complete work history, case experience, and credentials:

• Download Complete CV (PDF)