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
  • Curriculum Vitae 09.22.2010