Stock Options Finance Expert Witnesses, Page 1

Education:

Princeton, 1964 (B.A., Economics, with honors)
NYU Business School, 1966 (MBA, Top of class)

Expertise: Mr. Purcell has over 50 years of experience in every area of investment banking including the following:

Mergers & Acquisitions
Leveraged Buyouts and Recapitalizations
Fairness Opinions and Fairness Issues
Adequacy Opinions
Solvency Opinions
Bankruptcy issues, including fraudulent conveyance
Valuations
Advice to Special Committees of Boards
Due Diligence and Disclosure Issues
Fiduciary Issues
Damage issues and analysis
Lender Liability
Fee issues
Document Interpretation and Standards from investment banking point of views
Criminal cases involving alleged securities violations and insider trading
Financing of Debt and Equity (both public and private, taxable and tax-exempt, including structured financings)
Venture Capital
Leasing and Real Estate Financing

Background: William H. Purcell has been an Investment Banker for over 50 years. He was a Managing Director at Dillon Read for almost 25 years and has been a Senior Advisor to a number of medium-sized investment banks. Mr. Pucell has been a Senior Advisor and Director of Seale & Associates since 2001, an investment bank in the Washington DC area. He also has served as interim CEO of a public company and has served on Boards of Directors.

Mr. Purcell is currently Senior Director to the Investment Banking Firm of Seale & Associates, Washington, DC. area. Mr. Purcell has been an expert in more than 200 cases with over 180 Law Firms, including cases for the SEC, IRS and the DOJ. Has testified in court trials and arbitration trials over 40 times. He represents both plaintiffs and defendants. Subjects include all areas mentioned above.

View Consulting Profile.

• View Mr. Purcell's Curriculum Vitae

• Expert Testimony

• Courts Accepting as Expert

• Law Firm Retentions

MCS Associates is a nationally recognized consulting group that has provided financial, operations and regulatory/compliance consulting services nationwide to financial institutions, insurance companies and regulatory agencies as well as real estate and financial services organizations for over 40 years. Expert Witness and Litigation Consulting are a primary focus of our services. We undertake expert witness assignments throughout the United States and our clients include several hundred leading law firms around the country, working on behalf of both plaintiff and defendant financial institutions, borrowers, depositors, investors, developers, insurance companies and their insured, securities/insurance/real estate brokers/agents, regulators and government agencies, and individuals.

Together with MCS Associates’ specialized resources in banking, financial services and real estate, we also draw on key strategic alliances in insurance, economics, academia and the securities industry to meet a wide range of expert witness needs. Our litigation experts include experienced bankers, lenders, consultants, regulators, managers, brokers & agents in insurance, real estate, and securities; insurance claims and underwriting managers; economists, accountants, appraisers, real estate analysts, and academics.

Areas of Expertise Include:

Banking Operations/Administration
Check Fraud
Lending Policies, Custom and Practice
Loan Underwriting & Credit Administration
Loan Securitizations & Servicing
Bankruptcy, Foreclosures and Workouts
Trust & Fiduciary Issues / Operations
Securities Brokerage & Investments
Valuations & Damages Analysis
Forensic Accounting
Employment / Compensation
Real Estate Brokerage & Management
Title Insurance & Escrow
Real Estate Appraisal & Transactions
Insurance Industry Custom & Practice
Insurance Coverages / Claims Handling
Insurance Bad Faith

• View Litigation Consulting & Expert Witness Partial Client List

• View Banking, Real Estate, Insurance, & Financial Services Partial Client List

Bob Lawson, CSCP, AIF®, CFE®, MRFC®, LUTCF®, is a Securities & FINRA Expert Witness retained for FINRA arbitration, mediation, and federal/civil court litigation. Mr. Lawson possesses over 35 years of experience within the securities and insurance industries. In 1988, Mr. Lawson founded Barrington Capital Management, Inc., a Registered Investment Advisory firm and Insurance Agency, and currently serves as the Managing Principal of Barrington Financial Consulting Group, Inc, a 12-person Securities Litigation and Consulting firm.

In addition, Mr. Lawson serves as a FINRA Mediator and presides as a FINRA & NFA Arbitrator, Chairman -Qualified for disputes concerning investors, financial services professionals, broker-dealers, and dually-registered investment advisers. Claims often arise regarding breach of fiduciary duties, securities fraud, employment disputes, conflicts of interest, churning, unsuitable investments, and failure to supervise, among others. Mr. Lawson also serves as a public mediator and is a Qualified Neutral under Minnesota Rule 114 of Standard Practice in Mediation and Arbitration. His breadth of experience includes managing and supervising FINRA broker-dealer branch offices as a Registered Securities Principal, Options Principal, and Chief Compliance Officer.

Mr. Lawson also has considerable experience with insurance products including variable annuities, fixed and indexed annuities, long term care, and life insurance. Mr. Lawson possesses numerous accolades and is a Certified Securities Compliance Professional (CSCP), Accredited Investment Fiduciary (AIF®), Certified Fraud Examiner (CFE®), Master Registered Financial Consultant (MRFC), and a Life Underwriter Training Council Fellow (LUTCF®).

Retaining Mr. Lawson as an Expert Witness and Litigation Consultant will clarify and address relevant issues pertaining to your case from an insider's point of view. Upon a thorough examination and analysis of the case material, Mr. Lawson’s conclusions and opinions are impartial, objective, and predicated upon years of industry expertise and experience. Expert testimony and reports are supported by thorough and detailed research through case-specific analysis.

Bob is active in the following organizations: Chairman - Master Registered Financial Consultants | Mentorship and Practice Management Chair - Securities Experts Roundtable | Twin Cities Certified Fraud Examiners Association, Membership Chair - Minnesota State Bar Association ADR Section and Charter Financial Analysist (CFA) Society.

Areas of Expertise:

FINRA Expert Witness
Securities Expert Witness
FINRA Arbitration
Breach of Fiduciary Duty
Liability Expert
Promissory Notes
Securities Fraud Investigations
Ponzi Schemes
Options, Stocks & Bonds
Due Diligence
Professional Malpractice
Economic Damages & Losses
Employment Discrimination & Termination

Services:

Litigation Consulting
Unbiased Case Analysis
Discovery Review & Recommendations
Portfolio Risk Reports
Securities Fraud Investigation
Damage Calculations
Expert Testimony

View Bob Lawson's Consulting Profile.

• Bob Lawson's Curriculum Vitae

• Litigation Support

• FINRA & NFA Arbitration Process

• Alternative Dispute Resolution

• Keynote Speaker

• Articles of Interest

• Video - Barrington Capital Management Story

• Video - Barrington Capital Management Difference

• FINRA & NASD Rules Resource Guide

7/11/2017 · Securities

Expert's Corner: Selling Away - Broker-Dealer Liability for Selling Away Transactions and the Responsibility of Supervisory Personnel

By: Bob Lawson

In the securities brokerage industry, "selling-away" refers to the prohibited practice of an Associated Person effecting or soliciting the sale of securities or investment products not held or approved with whom the broker is affiliated without prior written consent. FINRA regulators have seen a steady flow of selling-away cases over the years involving registered representatives who are being targeted by issuers, promoters and marketing agents to sell their nontraditional investment products to their retail customers. In many instances, promoters of these products are marketing them as non-securities products that do not have to be sold through a broker-dealer by a registered person. In a significant number of cases, associated persons have sold these investments to their customers away from the broker-dealer and without firm approval as required by FINRA Rule 3270. Selling-away often occurs in an independent branch or a satellite office, where Associated Persons are removed from the day-to-day oversight and supervision of their brokerage firm's compliance department.

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9/23/2015 · Finance

FINRA Dispute Resolution Essentials

By: Bob Lawson

I receive phone calls throughout the year from attorneys who have taken on their first FINRA case and they frequently are unaware how the FINRA Dispute Resolution process differs from other venues. I thought it would be helpful to provide a quick overview for new participants and a refresher for those more experienced securities attorneys on how the FINRA Arbitration and Mediation process works.

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8/26/2015 · Finance

FINRA Code of Arbitration and Discovery Guidelines

By: Bob Lawson

In FINRA-related cases many attorneys see discovery requests objected to by opposing counsel. Typically, opposing counsel objects to discovery requests citing that items requested are either "overly broad, vague, or ambiguous", or "impermissible per FINRA's Code of Arbitration Procedure". However, despite opposing counsel's reasoning, many objections to discovery requests are irrelevant and do not hold up in regard to FINRA's Code of Arbitration Procedure. Attorneys should not be intimidated or discouraged by these objections, but rather should understand that FINRA's guidelines concerning arbitration allow for most applicable and reasonably obtainable discovery information to be delivered.

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3/15/2019

Securities Expert Witness Bob Lawson is the Newest Board Member at MFRC

"Experts.com Member and Securities Expert Witness Bob Lawson Takes on Additional Board Role at the MFRC"

Carlo Scevola & Partners is an International Fiduciary Company headquartered in Geneva, Switzerland, with branches in six continents. We specialize in International Planning, Strategic Consulting and Wealth Management. Our clients trust us for everything from setting up an Offshore Company to Mergers and Acquisitions to Business Finance and Asset Protection.

CS&P’s customer-centric methodology ensures that each client gets a custom-tailored solution which addresses that business’ individual objectives and requirements. Our team has expertise in every functional category and every important geography. From finance to operations to human resources to marketing – from the Americas to Europe to Africa, Asia and Oceania – CS&P can bring together experienced executives who know how to advise you and will make your enterprise a success. All this while always protecting your privacy.

Services Offered: Business and Strategic Consulting

S.W.O.T. Analysis
Pre-investment Feasibility Studies / Competitive Background Assessments
Business Plan Research, Writing and Production
Strategy Definition / Implementation
Reworking of Operating Processes for International Suitability
Industrial Partnership Scouting / Matching
Tailor Business Model to Market Environment, Jurisdiction and Local Authorities Requirements

Corporate Finance:

Mergers, Acquisitions and CessionsCommercial Due Diligence or Investment / Financial Appraisals
Company Reorganization and Restructuring
Financial Feasibility Plans for Industrial Expansion
Scouting / Recruiting Highly Qualified Financial Management
Exit Strategies in the event of Buy-outs, Buy-ins, Spin-offs or MBOs, MBIs and LBOs
Listing on Stock Exchanges

Offshore Consulting:

International Tax Planning
Corporate Structuring, Maintenance and Trusts
International Contracts Law
Jurisdictions
Residency and Citizenship
International Banking
Logistic Support
Government Licenses
Aircrafts and Vessels
Intellectual Property

CS&P Operates In More Than 80 Countries Around The World.

• View Carlo Scevola's Biography

• View CS&P Team Biographies

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• CS&P Operates in over 80 Countries - View jurisdictions

• CS&P International Office Locations

Offshore Jurisdictions Guide

Carlo Scevola and Karina Sneiderova

Intended as a unique source of inspiration for effective business organization and tax planning, as well as a quick and easy reference book, the Offshore Jurisdictions Guide is a comprehensive and objective guide to offshore jurisdictions offering personal taxation and business opportunities. Providing a solid overview of 100 jurisdictions around the world, this is an essential handbook for financial experts, legal advisors, consultants, and the general public.

Curtis R. Kimball, CFA, ASA, is an experienced Financial Valuation Analyst and the national director for WMA’s Wealth Management Valuation Practice. Mr. Kimball works with the firm’s regional, national, and international clients out of WMA’s Atlanta regional office, which he opened in 1995. He has been valuing private company interests and restricted interests in public companies, intellectual properties, and other intangible assets, rights, claims, and investments for a variety of purposes for over 40 years.

Litigation Support - Mr. Kimball has presented Business Appraisal and Valuation expert witness testimony in federal (U.S. Tax Court, U.S. District Court, U.S. Court of Federal Claims, and U.S. Bankruptcy Court) and various state courts and in alternate dispute resolution venues, including mediation and binding arbitration, and has extensive experience with appearances in IRS appellate conferences. He has appeared over 70 times as an expert witness on valuation issues.

Areas of Expertise: