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Negative Numbers: Finding a Securities Investment Compliance Expert



It was a simple equation. Great sums of money subtracted from a large group of investors equaled a class action lawsuit. But once the case moved on to trial, someone needed to explain all the complex numerals and hidden variables. IMS Consulting & Expert Services was charged with locating a securities investment compliance expert who could testify concerning financial industry standards and practices.

Primary Case Issue:

When the value of their stock portfolios went down, a group of investors asserted that the cause wasn’t market downturn—it was faulty investing. Specifically, the plaintiffs alleged that their financial services investment company caused their monetary losses through breach of fiduciary duty, fraudulent misrepresentation, and investment portfolio mismanagement.

Expert Witness Requirements:

  • Extensive experience managing investments, including variable annuities and hedge funds
  • Knowledge of accepted securities and financial industry standards and practices, including regulatory compliance and disclosure requirements
  • Ability to convey securities information in a way people outside the securities industry understand

Expert Witness Search:

An internal research team submitted five highly suitable candidates within one business day. These expert candidates were pre-vetted by an IMS recruiter and their credentials precisely met or exceeded the clients’ expectations.

Expert Witness Placement:

The client chose a hedge fund trading expert who had experience designing investment portfolios for corporate and public clients, and the focus of his work was on alternative investment portfolios and due diligence in client investments. The expert was a shareholder in a private investment consulting firm with clients that held a combined $1 trillion in assets and over $50 billion in alternative investments.

Additionally, this expert was the associate director of curriculum for a nonprofit, global investment analyst professional organization, and he taught university-level courses in hedge funds, finance, investments, and portfolio management. His academic credentials included a PhD in management science and an MBA in finance.

Case Results:

This case settled.

IMS knows the subject matter authorities across every industry and discipline. No matter your specific needs, IMS will locate and deliver the best-aligned expert witness.

Let’s find your expert:

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