Expert Witness Assistance
Overview of Expert Assistance
Mr. Klein is serving and has served as an expert witness on a variety of cases. His expertise in analyzing securities transactions and interpreting securities laws helps parties and tribunals understand how the securities laws apply to particular transactions. Mr. Klein’s expertise includes:
- Registration, Licensing, and Disclosure Requirements Under Securities Laws
- Auction Rate Securities
- Broker-Dealer Duties to Customers
- Condo-Hotel and other Real Estate Investments
- Hedge Fund Investments
- Stock Manipulation
- Securities Fraud: Misrepresentations, Omissions, and Fraudulent Practices
- Ponzi Schemes
- Liabilities of Third Parties
- What Financial Instruments are Securities
