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“I have assisted both claimants and respondents in providing behind-the-scenes support as well as on-the-stand expert testimony.”

Securities Litigation & Arbitration Support

The need for expert assistance in cases involving securities is often critical. I am regularly called upon to assist with case design and support — and as an expert witness. My extensive background enables me to speak with authority about the intricacies of securities laws and regulations, as well as investment products, services and operational procedures.

Case Design and Support

When a firm needs behind-the-scenes support to build or defend a securities case, I can:

  • Establish evidence that you're following a prudent process, thereby minimizing the risk of litigation
  • Assist counsel in development of court filings, interrogatories and document requests
  • Analyze relevant financial information, including profit and loss, portfolio turnover, rate of return, mark-up and chronological account activity
  • Review forecasts and historical performance
  • Research and document relevant industry statistics
  • Quantify damages
  • Assist in development of trial/deposition questions
  • Help prepare counsels' other witnesses for trial/deposition testimony
  • Review, critique and rebut opposing experts' analyses
  • Develop appropriate demonstrative exhibits

Expert Witness

As an Expert Witness, I help an arbitrator or jury understand the complex issues upon which a decision must be based in securities cases. I am able to provide persuasive testimony on standard industry practices, pertinent securities regulations and the methods used to calculate and analyze damages. I have assisted claimants and respondents equally, including service for the U.S. Department of Labor in ERISA Federal Court litigation.


For more information, contact Keith Loveland, 952-746-1106, or by email at: kloveland@cap-mgt.com