Securities Expert Witness - W. McGinnis Advisors, LLC - Expert Witness Securities & Investments - Bill McGinnis, CFA

 

 

CFA Expert Witness Securities

William W. McGinnis, CFA

Securities & Investments Expert

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  William W. McGinnis, CFA - Securities Expert Witness  

 

William W. McGinnis, CFA, Founder


     Experience Summary --

  • Sell-side investment analyst - 10 years
  • Portfolio manager and buy-side analyst - 1 year
  • Investment banking - 5 years
  • 5 years of experience working for a large certified public accounting firm, including some auditing field work experience
  • CFA Institute Ethics Task Force
  • Code of Ethics & Standards of Practice Liaison to CFA Institute
  • CFA Society of Milwaukee Board of Directors
  • North American Securities Administrators Association (NASAA) Exam Author
  • New York Society of Security Analysts (NYSSA) Member
  • Awarded CFA (Chartered Financial Analyst) designation in 1989
  • Held the Series 7, Series 65 and Series 63 securities licenses
  • Education:  Majored in Finance and Management Information Systems with minors in Economics and General Business.  Honors College graduate, Presidential Scholar and graduated Magna Cum Laude
  • Experienced business strategist, planner, and consultant
  • Professional speaker with significant press experience
  • Training and education instructor - 30+ years
  • Extensive experience in FINRA arbitrations, Federal court cases, and state court hearings

Bill was awarded the Chartered Financial Analyst (CFA) designation in 1989.  He has personally invested in stocks, bonds and options for almost 40 years.

 

William W. McGinnis, CFA

(Chartered Financial Analyst)

He has outstanding professional qualifications, strong communication skills, and practiced analytical abilities. He quickly assesses, grasps, and effectively communicates relevant information regarding securities, financial performance and professional policies and procedures.

His professional background includes over 10 years of experience as an investment analyst for brokerage firms including Robert W. Baird & Co. and Kemper Securities.  During this period, he analyzed over 200 companies in a broad range of industries. 

As an investment analyst, he had significant contact and experience working with the trading, retail brokerage, institutional sales, and investment banking divisions of his employer firms.  Bill has firsthand knowledge of the legal, compliance and fiduciary responsibilities and the ethical considerations of the securities business.

While Bill's analytical experience crosses a diverse range of industries, he has particular expertise in the analysis of banks, savings & loans, other financial institutions, private mortgage insurance, and financial services companies.  He also has a strong understanding of the insurance industry and has a long-held interest and background in technology companies.

Bill has also been employed as a portfolio manager, investing client funds in equities and fixed income securities for individuals, companies, pension plans and charitable organizations.

He has held the following securities licenses: Series 7 (Registered Representative), Series 65 (Registered Investment Adviser) and Series 63 (Uniform Securities Agent).  Thus, he is competent and qualified to speak to the legal requirements associated with these licenses.  (The Series 7 & 63 combination means that he was legally a licensed stock broker; however that was never a primary responsibility.)

Bill created and led a team of individuals performing Investment Banking work for 5 years.  He performed client projects including merger & acquisition analysis and consulting, securities and business valuation, asset/liability management, corporate budgeting, strategic planning, financial forecasting and profitability enhancement consulting.  In this role, he worked with public companies, privately held companies and individuals. 

He has significant experience with initial public offerings, secondary offerings and bond offerings.  He has worked closely with attorneys and investment bankers in the public offering process and is familiar with the related securities filings.

Bill worked for a large public accounting (CPA) firm as a financial analyst for 5 years.  As part of his significant training, he was involved in financial audits of client firms and is knowledgeable of accounting firm procedures and practices.  

He is also a trained professional speaker.  As such, he is extremely comfortable in all interview situations and can communicate complex legal, regulatory and financial issues in straight-forward ways that any audience will understand.

Bill has extensive press experience with newspapers, magazines and television including the Wall Street Journal, Investor's Business Daily, Barron's, Forbes, Fortune, Money, Business Week, American Banker, other major publications, and national television and radio news.

As a securities expert witness, Bill has extensive experience in FINRA arbitrations, Federal court cases, and state court cases. He has been involved in cases with claims involving investment suitability, breach of fiduciary duty, standards of professional practice, investment ethics, standards of professional conduct, securities fraud, ponzi schemes, securities fraud, failure to supervise, and more.

Bill's CV is available in either PDF form or as a webpage.

 

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