James Karabas brings four decades of frontline securities-industry experience to his expert witness practice, offering clear, unbiased opinions grounded in real-world supervisory, compliance, operational, and investment management leadership.
As an active Private Wealth Advisor, former Chief Compliance Officer, Chief Operating Officer and Branch Manager, James provides a uniquely comprehensive perspective on industry standards, fiduciary obligations, and regulatory expectations for both RIAs and broker-dealers.
Credentials
• Juris Doctor (JD) – John Marshall Law School
• Certified Fraud Examiner (CFE®)
• Certified Investment Management Analyst (CIMA®)
• Certified Financial Planner (CFP®)
• Former FINRA Registered Principal (Series 24)
• Past registrations: Series 3, 5, 7, 15, 63, 65
• Member: Securities Expert Roundtable, ACFE, FPA, Investment & Wealth Institute
Industry Leadership Experience
• Former Chief Compliance Officer & COO, Embree Financial Group
• District Branch Manager, Waddell & Reed
• Managing Director, Vestor Capital Partners
• Private Wealth Advisor & First Vice President, Merrill Lynch
• Securities Litigation Consultant, Independent
• Derivatives Specialist, Paine Webber, Oppenheimer, Prudential-Bache
Engagement Philosophy
James provides fact-driven, regulatorily informed expert opinions that withstand scrutiny. His testimony is clear, accessible, and grounded in decades of combined experience across supervision, operations, investment management, and compliance leadership.
SER Voting Member
Curriculum Vitae