Strengthen your securities case
Increase Credibility Through Securities Law Expert Testimony and Consulting
The testimony of an expert witness can make a significant difference in the outcome of a complex securities case.
Tom Tenenbaum is a top expert witness and consultant in civil and criminal securities cases. A Colorado-based attorney with a national practice, he is exceptionally qualified and credible based on four decades of extensive experience representing sophisticated businesses and individuals in securities litigation and transactions. His testimony is respected in both Federal and Colorado courts.
In addition, Tom offers particular knowledge and experience in securities regulation of cryptocurrency. The law in this area is rapidly evolving – in Colorado, other states and at the federal level.
“I have worked with Tom Tenenbaum for 30 years on mutual client matters through my work as a CPA. I have also been a client of his firm. Tom has great problem-solving skills, and expert knowledge in securities law matters and particularly as to the SEC. I know first-hand his highly effective representation and it is impressive how he can unravel complicated situations while always keeping the client’s end goal in mind. I have consistently had a great experience with Tom and that is why I have both referred and engaged his services for decades.” –Colorado CPA
Over the course of his career, Tom has successfully represented individuals and companies in investigations and litigation with the SEC, State Securities Commissions and FINRA, as well as in private litigation and FINRA arbitration. He understands the functions of an objective expert witness in these cases.
Tom’s securities expertise is well-known in the Colorado legal community. He is a CLE lecturer on complex securities topics to attorneys and a speaker to industry groups on securities matters. In addition, he serves as a source of professional commentary and background information to the print and electronic news media.
Tom is consistently rated AV Preeminent by Martindale-Hubbell. He has been recognized for his securities experience by The American Lawyer, The National Law Journal, Corporate Counsel and 5280 Magazine. He began his career with the U.S. Securities and Exchange Commission’s New York office.
EXAMPLES OF HOW TOM’S TESTIMONY HAS MADE A DIFFERENCE IN SECURITIES LITIGATION
1. A former Colorado U.S. Attorney hired Tom as a consulting expert witness in a Colorado district court criminal jury trial case. The central charge of securities fraud turned on whether promissory notes sold by the defendant were securities. Tom performed a detailed fact and legal analysis, and concluded that the notes were not securities. He was then asked to be a testifying expert witness. Tom provided extensive testimony at trial regarding his opinion. The jury returned a not guilty verdict, finding that the notes were not securities.
2. Tom testified as an expert witness in a federal civil jury trial on behalf of a securities transfer agent company who was being sued by a major institutional investor for stock market losses claimed to have been caused by its wrongful failure to transfer the securities and preventing their sale before the market price dropped. Tom’s opinion, supported by his expert report, was that the transfer agent’s refusal was not wrongful. The jury, following Tom’s opinion, found in favor of the transfer agent.
3. Tom prepared an expert report and gave deposition testimony that a company’s disclosures in an institutional private securities offering were not materially false and misleading. The case focused on the requirements for a foreign exchange listing of the company’s securities. Among other things, Tom identified that the opposing expert’s statements and opinions regarding the listing requirements were incomplete and inaccurate. Soon after, the case was settled favorably for the company.
Tom Tenenbaum and his team also add value to your civil or white-collar securities case as advisory consultants. Their input can be simple – such as advising on terms and explaining securities industry practices and securities regulatory requirements – or in-depth – such as acting as co-counsel.
From case evaluation and pre-trial resolution to expert reports and testimony, Tom can strengthen your case by incisively informing and persuading key decision-makers including: securities regulators, arbitrators, opposing counsel, juries and judges.
“Mr. Tenenbaum was retained by our law firm to provide expert testimony in a securities litigation case. The main issue in the case involved the sale of restricted securities. The case was tried before a jury in the United States District Court for the District of Colorado. Mr. Tenenbaum’s preparation was thorough, his knowledge of the subject matter was comprehensive, and his testimony was highly credible. He was able to explain complicated and nuanced issues regarding securities transactions in a manner the jury could comprehend. Moreover, he communicated competence, as well as credibility and trustworthiness. In addition, his demeanor on the witness stand made his testimony all the more effective as the jury liked him. The ultimate outcome of the trial was a jury verdict in favor of our client.”
—David Kozma, Trial Attorney
“Tom served as a very helpful expert consultant and witness for my firm in a complex commercial and securities litigation case. We also worked together on a private placement. In addition, Tom assisted me with a complex international securities matter that benefited from his contacts in Canada. In each of these roles, Tom has proven invaluable. I have witnessed again and again his sharp mind and conscientious work habits. His stellar reputation is well deserved.”
—Howard Bernstein, Attorney and CPA
“I consider Tom an A-lister in securities litigation. He is a fabulous legal strategist for cases involving financial issues. He knows securities fraud and routinely handles complex matters. Tom is well-versed in new areas such as blockchain and cryptocurrency. I am fortunate to be able to consult with him on state and federal regulatory matters.”
—Kenneth F. Eichner, Trial Attorney