Keith Palzer

Keith’s professional experience includes:

• Foreign Bank Regulatory Compliance: Project leader in assessment of US corporate compliance strategy and program for a New York branch of a leading international bank.
• Structured Products Criminal Investigation: Senior consultant to a broker subject to a non-US criminal inquiry into sales of equity derivatives products to pension investors.
• Interest Rate Swaps Antitrust Case: Co-lead of consulting team in defense of dealer bank in a multi-district antitrust case involving the US interest rate swaps market.
• Insider Trading Case: Expert witness for defense in a criminal trial of a private equity manager accused of disclosing deal information to a foreign hedge fund.
• Commodities Market Compliance: Project leader in design and implementation of a commodities market compliance program for a leading international commodities dealer.
• Annuity Sales Dispute: Expert witness for defendant bank regarding investment suitability of fixed, variable, and living annuity sales to elderly investors.
• Venture Capital Fund Dispute: Expert witness for claimants in California state law arbitration against a venture capital fund manager for investment fraud, improper governance, and breach of fiduciary care.
• Wealth Management Fee Dispute: Expert witness for a registered investment advisor claiming violation of fee-sharing agreement with portfolio manager.
• Venture Capital Fund Fraud Case: Expert witness for fund investors in an arbitration involving breach of fiduciary duties and standards of care by a venture capital fund manager.
• Registered Investment Adviser Compliance: Consultant to a large asset management firm, conducting a senior management workshop on private fund SEC compliance risk.
• Brokerage Client Raiding Case: Damages expert for broker-dealer claimant in FINRA arbitration involving improper client solicitation, and theft of client information.
• Hedge Fund Investigation: Lead investigator for a US bank hedge fund administrator into a failed hedge fund.
• Wealth Management Dispute: Expert witness on behalf of wealth management firm in a FINRA mediation with a high-net worth investor alleging improper portfolio management.
• SEC Bond Trading Investigation: Consultant to hedge fund subject to an SEC enforcement investigation of illiquid bond trading in client accounts.
• Private Equity Founder Case: Expert witness for respondents in civil case involving whether the founding of a private equity firm.
• Family Office Dispute: Expert witness for claimant in California civil bench trial regarding family office private equity co-investments.
• FINRA Enforcement Case: Expert witness for FINRA in action to bar a broker for recommending unsuitable ETF investment strategies to retail clients.
• Foreign Bank Compliance Risk Assessment: Project leader in the design and implementation of a new compliance risk assessment program for a large, complex foreign banking organization in the United States, involving capital markets, consumer and mortgage banking, and investment banking businesses.
• Credit Derivatives Litigation: Market expert on more than $1 billion credit derivatives disputes between a dealer and large hedge fund.
• SEC Mutual Fund Investigation: Consulting expert to registered investment advisor subject to an SEC enforcement investigation regarding improper disclosure and portfolio allocation issues in an ETF.
• OTC Options Market Investigation: Consulting expert for a hedge fund subject to a US Department of Justice investigation regarding OTC options market manipulation.
• RMBS Structured Products Operational Risk: Project leader in an independent review of remediation by a leading US mortgage-bond trustee of securitization issues arising during the RMBS crisis.
• CDO Dispute: Consulting expert on defense of bond trustee in more than $1 billion claim for improper indenture compliance.