Securities: Stock Options Consultants: 2

James W. Lovely, BBA, MBA, JD, is an experienced provider of consulting advice, case analysis and expert witness testimony. He has more than 30 years of business and legal experience in the financial markets with particular expertise in:

• Complex financial products, including swaps, swaptions, options, futures, repurchase agreements, foreign exchange, commodities, prime brokerage arrangements, securitizations, structured notes and municipal bonds;
• Secured commercial lending and hedging arrangements often (but not exclusively) involving those complex financial products; and
• U.S. commercial, commodities, securities and banking law and regulations governing those financial products; and
• LIBOR transition to SOFR, Ameribor and other reference rates.

Mr. Lovely is a very capable writer and public speaker and currently maintains his own consultancy in the above-described areas of expertise. He assists his consulting clients and their legal counsel with: (i) structuring and documenting transactions involving financial products; (ii) evaluating and complying with, and educating personnel concerning, applicable law and regulation; and (iii) tailoring client business practices, compliance programs, and operating procedures to facilitate adherence to both law and corporate policy. He is adept at simplifying or clarifying complex financial products, disputes, and compliance obligations and translating between a client’s legal team and its executive/financial officers while delivering insightful analysis and sound practical guidance. He is intimately familiar with ISDA, NAESB, EEI, ICOM, IFEMA and SIFMA financial product documentation, forms and protocols. 

Consulting Engagements:

• Mr. Lovely has consulted with regional and community banks that provide derivative and/or foreign exchange products to customers and hedge residual risks with the major money-center banks. In this capacity, he has been involved with the evaluation, structuring, documentation, collateralization and occasional modification or novation of a wide range of financial products, typically in the context of a larger commercial lending relationship.
• Mr. Lovely has provided consulting services to family offices, hedge funds and CFTC licensed commodity pool operators in connection with a wide range of financial products and prime brokerage arrangements and concerning both SEC and CFTC compliance programs and obligations arising from that activity.

View James Lovely's Expert Witness Profile.

David Tilkin is a Litigation Support and Consulting Specialist with over 20 years of experience in the Securities Industry and over ten years of experience in the Compliance Software Industry. Mr. Tilkin was the founder and CEO of Protegent, the first company to deliver automated exception reporting, auditing and sales practice review technology to the financial services industry. Protegent was sold to SunGard, Inc.

Currently the President and CEO of the Tilkin Group, Mr. Tilkin offers consulting and strategic leadership to lawyers, regulators, and companies seeking support in litigation, software procurement, and strategic planning. He maintains a Series 65 license and has previously maintained a Series 63, 7, 8, 4 and insurance licenses. He has extensive training in the securities industry as a broker, manager and regional director.

Mr. Tilkin has leveraged his intensive background in all aspects of broker-dealer operations to provide insightful, resourceful, and practical support. He has published numerous articles on the issues of suitability, supervision and financial services software and was recently asked to speak on the issue of financial services supervision at the Securities Law Clinic at Cornell University in Ithaca, New York.

Consulting Services Include:

View David Tilkin's Expert Witness Profile.