Please welcome our newest members, joining the organization over the past four months. Click on the name for a full bio and contact info.
Michael Cashel Michael is a former CEO, COO, and CCO of several Broker-Dealer and Fintech related companies, having held senior leadership roles at Fidelity, Bear Stearns, ABN Amro, and Morgan Stanley. With numerous registrations, he has deep experience in electronic trading and alternative trading systems.
Jeffrey Estella Jeff is a financial services executive with experience as a global leader in the asset management investment process. He has extensive experience in global equity trading, compliance, investment operations, risk management, securities market structure, public policy, global regulation, and the implementation of technology efficiencies.
Alan Harry Alan began his career working with Cooper and Neff to complete one of the first solvable solutions for pricing derivatives in the financial markets. He began his trading career on COMEX becoming one of the largest gold derivatives traders in the market and is currently a Managing Partner at AH Franklin, which he founded.
Jeffrey Holik Jeff is an experienced securities attorney with the distinction of having served in leadership positions at NASD Regulation (FINRA) and as the chief legal officer of a large, bank-affiliated, broker-dealer and investment adviser. This unusual combination of senior regulatory and industry experience permits him to offer balanced perspectives which resonate with arbitration panels.
Craig S. Hurwitz Craig is a consultant, subject matter expert, and seasoned Asset and Wealth Management professional. He has extensive behind-the-scenes exposure to the target operating models and risk taxonomies of many of the world's largest banks, broker/dealers, RIA’s, asset management firms, Sovereign Wealth Funds, and Family Offices.
Hollie S. Mason Hollie has more than 14 years of financial industry experience, involving securities litigation and regulation. Currently at The Brattle Group, she previously served as senior enforcement counsel at FINRA, where she was responsible for ensuring that its members complied with FINRA and SEC regulatory requirements.
William H. Purcell Bill has been an investment banker for over 50 years, having worked in over 100 M&A transactions as well as over 100 financing transactions. As an investment banking expert witness, he has been retained in over 200 cases, including being retained by the SEC, the DOJ, and the IRS.
John J. Richard John has been providing expert witness testimony and consulting services in complex securities related litigations for over a decade. He has close to 30 years of experience in the financial markets, specializing in fixed income portfolio management, structured finance investments, and real estate finance and investment.
James R. Rieger A long-time bond market veteran, JR specializes in the valuation of illiquid and distressed securities as well as determining the appropriateness of indices & benchmarks selected by investment managers for performance reporting. His newsletter, the Rieger Report, provides periodic market commentary into the fixed income markets.
Rob Spawn Rob is the Founder of Stella Consulting LLC, a firm which focuses on Recruiting, Organizational Consulting and Expert Witness services. He leverages 35+ years of financial industry experience to assist clients in matters concerning compensation, recruitment, branch supervision, to name a few.
Thomas Walford Thomas is the founder and CEO of Expert Evidence, a 20 strong group of Banking and Financial Expert Witnesses, Mediators and Arbitrators. Thomas’ speciality is in private banking, wealth management, investment and regulation and he has given evidence from Hawaii in the west to Singapore in the east.