Securities Law Expert Witness

Ms. King has assisted national and regional brokerage firms, investment advisers, registered persons, investment adviser representatives, investors, mutual funds, state attorney general offices and the U.S. Justice Department in securities arbitrations and trials around the country. She has testified extensively on both regulatory issues and the application of securities laws and rules to various fact patterns and issues.

Cynthia King provides Expert Witness assistance in the following key areas:

  • Consulting with attorneys to assess case issues, strengths and weaknesses
  • Formulation of opinions regarding the application of securities laws and regulations and assessing liability issues
  • Prepare written opinions when requested
  • Testify at hearings and trials
  • Damages analysis

Working in conjunction with various associates, Cynthia King provides data input and analysis in connection with damage assessments and challenges in securities litigation. These services include:

  • Profit and loss calculations
  • Turnover analysis
  • Cost/equity analysis
  • Market indices comparisons
  • Chronological transaction analysis
  • Number of days held analysis
480-460-0023
Phoenix, Arizona
witness

Cynthia King has over 20 years of experience in the area of securities regulation, including 11 years with the National Association of Securities Dealers, Inc. (now FINRA) as Regional Counsel, Supervisor of Special Investigations and Staff Examiner. She has been retained as an expert witness in over 125 securities and investment related disputes, both for claimants and respondents in arbitration and courtroom forums.
Suitability
Supervision
Manipulation
Churning
Underwriting issues
Securities registration issues
Fraud and misrepresentations
Duties of a broker
Duties of an investment adviser
Advertising issues
Broker-dealer and investment advisor registration issues
Finders
Data input & Analysis
Damage Assessments