Financial Expert Witness Communication: A Practical Guide to Reporting and Testimony

Overview

Serving as a financial expert witness or consultant in lawsuitsis a stressful, challenging, and tough business. In FinancialExpert Witness Communication: A Practical Guide to Reporting andTestimony, financial forensic expert Bradley J. Preberleverages more than 30 years of experience to create a practicalguide for financial expert witnesses as they face litigationreporting and testimony.

Financial Expert Witness Communication covers all areasof financial litigation including ...

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Financial Expert Witness Communication: A Practical Guide to Reporting and Testimony

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Overview

Serving as a financial expert witness or consultant in lawsuitsis a stressful, challenging, and tough business. In FinancialExpert Witness Communication: A Practical Guide to Reporting andTestimony, financial forensic expert Bradley J. Preberleverages more than 30 years of experience to create a practicalguide for financial expert witnesses as they face litigationreporting and testimony.

Financial Expert Witness Communication covers all areasof financial litigation including accounting, financial forensics,forensic technology, and damages—all from the point of viewof an expert witness. The book is especially helpful for those whoexpect to be formally designated as an expert witness; however, itis also appropriate for financial forensic accountants, litigationconsultants, and attorneys as they navigate the unique playingfield of the financial litigation process.

This book gives financial experts strategies to defend theanalysis, conclusions, and expert opinions they have at theirdisposal. It also provides thorough explanations of compliance,data limitations, and due diligence as well as how to handledemanding legal counsel, with a goal of better preparing them forthe entire legal process.

The book is part of the Wiley Corporate F&A Series and wascreated as an educational resource for nonattorney financialexperts involved with U.S.-based civil litigation or alternativedispute resolution proceedings. It takes a well-rounded approach byincluding special chapters on such concepts as retention,privilege, responsibilities, ethics, and testimony, all written bya nationally recognized expert. As a bonus, the companion websitepresents an additional expert witness case study and guidelines forfulfilling an expert witness role.

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Product Details

  • ISBN-13: 9781118753552
  • Publisher: Wiley
  • Publication date: 6/3/2014
  • Series: Wiley Corporate F&A Series
  • Edition description: New Edition
  • Edition number: 1
  • Pages: 328
  • Product dimensions: 5.90 (w) x 9.10 (h) x 1.50 (d)

Meet the Author

BRADLEY J. PREBER, CPA, CFF, CFE, is the NationalManaging Partner of Grant Thornton LLP’s Forensic andValuation Services Practice. With more than 30 years’experience, he has prepared numerous expert reports as anaccounting, financial, fraud, and/or damage expert and hastestified in federal court and state courts. Preber is the primaryauthor of the AICPA’s Introduction to Civil LitigationServices, and he has instructed National Institute of TrialAdvocacy (NITA) programs.

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Table of Contents

Disclaimer xiii

Foreword xv

Preface xix

Acknowledgments xxiii

PART I: DISPUTE RESOLUTION AND THE FINANCIAL EXPERT

Chapter 1: Value of the Financial Expert in Litigation andDispute Resolution 3

Why Be a Financial Expert Witness? 3

Value of the Financial Expert Witness under Federal Rules 4

Enhancing Value Using the Litigation Process 13

Coming Up 14

Notes 14

Chapter 2: Roles Suited for the Financial Expert 17

The “Big Three”: Liability, Causation, and Damages17

Financial Expert Assignments 19

Roles for the Financial Expert 20

Matters Suited for the Financial Expert 21

Financial Expert Litigation Services 22

Coming Up 27

Notes 27

Chapter 3: Retention of the Financial Expert 29

Finding Financial Experts 29

Prospective Client Due Diligence 35

Pre-Engagement Communications 39

Selection of the Financial Expert Witness 42

Coming Up 44

Notes 44

Chapter 4: Getting Started as a Financial Expert 45

Getting Started 45

Coming Up 61

Notes 61

Chapter 5: Civil Litigation and Dispute Resolution Processes63

Civil Litigation Actions and Proceedings 63

Alternative Dispute Resolution 71

Coming Up 72

Notes 72

PART II: FINANCIAL EXPERT RULES, CASE PRECEDENT, ANDETHICS

Chapter 6: Federal Rules of Evidence for the Financial ExpertWitness 77

Evidentiary Rules on Expert Witness Opinions and Testimony77

Scientific, Technical, or Other Specialized Knowledge 79

Coming Up 94

Notes 94

Chapter 7: Federal Rules of Civil Procedure for the FinancialExpert Witness 97

Procedural Rules on Expert Witness Reporting and Testimony97

Coming Up 105

Note 105

Chapter 8: Basic Litigation Knowledge for the FinancialExpert Witness 107

Laws and Rules 107

Legal Precedent 113

Orders 117

Court Rules and Policies 121

Privileged Communications 121

Professional Standards 122

Coming Up 122

Notes 122

Chapter 9: Professional Ethics Considerations 125

Professional Ethics 125

Ethical Considerations for the Financial Expert Witness 130

Trial 133

Coming Up 136

PART III: FINANCIAL EXPERT WITNESS REPORTS ANDTESTIMONY

Chapter 10: Preparing the Financial Expert Witness Report139

Federal Rules on Financial Expert Witness Disclosure 139

A PRACTICAL Way to Prepare a Financial Expert Report 140

Organization of the Financial Expert Witness Written Report143

Writing the Financial Expert Witness Report 145

Caveats to Consider 149

Exhibits 153

Quality Control for Financial Expert Witness Reports 154

Coming Up 156

Notes 156

Chapter 11: Rebutting the Financial Expert Witness Report157

The Financial Expert Rebuttal 157

Steps for an Effective Rebuttal 157

Case Study: Exclusion of the Financial Expert Witness 171

Risks of Having Only Rebuttal Opinions 174

Coming Up 174

Notes 174

Chapter 12: Discovery Using Deposition 177

What Is a Deposition? 177

Deposition Objectives 185

Coming Up 187

Chapter 13: Financial Expert Witness Deposition Preparation189

Preparation for Deposition 189

Expected Deposition Questions 192

Confer with Client Legal Counsel 200

Leading Up to Deposition 203

Coming Up 204

Chapter 14: Financial Expert Witness Deposition Testimony205

Deposition Testimony 205

Post-Deposition Activities 225

Coming Up 227

Notes 227

Chapter 15: The Financial Expert Witness and Motions andHearings 229

Motions 229

Hearings 235

Coming Up 236

Notes 236

Chapter 16: Financial Expert Witness Trial Testimony237

Types of Trials 237

Components of Trial Examination 238

Preparation for Trial Testimony 239

Objections 248

Coming Up 250

Notes 250

Chapter 17: Financial Expert Witness Direct Examination253

Direct Examination 253

Direct Examination Outline 258

Trial Demonstratives 259

Preemptive Cross-Examination 260

Use of the Expert Report in Trial 261

Redirect Examination 261

Rebuttal Testimony 262

Coming Up 262

Notes 262

Chapter 18: Financial Expert Witness Cross-Examination263

Cross-Examination 263

Objectives of Cross-Examination 264

Cross-Examination Techniques 268

Ten Commandments of Cross-Examination 272

Surviving Cross-Examination 274

Re-Cross-Examination 277

Coming Up 277

Notes 278

PART IV: ALTERNATIVE DISPUTE RESOLUTION

Chapter 19: Alternative Dispute Resolution: Mediation281

Mediation Process 281

Financial Expert Participation in Mediation 282

Mediation Activities 284

Coming Up 288

Notes 289

Chapter 20: Alternative Dispute Resolution: Arbitration291

The Arbitration Process 291

Structure of Arbitration 292

Arbitration Activities 293

Financial Expert Participation in Arbitration 300

Coming Up 301

Chapter 21: Alternative Dispute Resolution: NeutralAccounting Arbitration 303

Neutral Accounting Arbitration 303

Neutral Accounting Arbitration Process 304

In Closing 312

Bibliography and Suggested Reading 313

About the Author 317

About the Website 319

Index 321

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