Expert Details

Expert in Antitrust, Banking, Damages, Demography, Discrimination, Finance; IP Surveys, Statistics, Economics

Expert ID: 724976 Texas, USA

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Expert and his firm are responsible for all Quality Control on all litigation support activities for the Department of Justice. With an office of 15 professionals in the Washington DC metro area, they sample and evaluate the work of multiple firms providing litigation support for all litigation filed against or brought by the Department of Justice on behalf of the Federal government. Quality control activities include:
1. Quality Assurance for Automated Litigation Support Services.
a. Database integrity including Web-Based Databases;
b. Image capture, including digital image scanning;
c. Document indexing/coding;
d. Documentation (case manuals, procedures, and instructions);
e. Training Sessions;
f. Specialized areas; and
g. Litigation support processes and procedures
2. Electronic Media/E-Discovery.
a. Processing and conversion of electronic image files;
b. Processing and conversion of native files;
c. Processing and conversion of database load-ready files.
3. Quality Assurance for Case Management System and Related Activities.
a. Case Control and Classification
b. Appellate Case Processing and Data Entry
c. Mail Identification/Routing
d. Database Integrity Program
e. Timekeeping Data Entry.

Expert has provided support for a number of audits and test programs. He currently supports the audit of the U.S. Office of Personnel Management, where the two major retirement funds for all Federal employees are managed. Expert has developed sampling procedures, selected samples, and provided projections from sample to the full set of activities in both funds as part of the annual financial statement reporting for OPM. He has previously developed and supported acceptance sampling for projects with the US Marshall's service, for the US Treasury, for the Customs Office, for the Department of Agriculture, and for the Department of Justice. He has also published articles on methods for acceptance sampling and quality control using complex sample designs for multiple audit purposes.

Expert has been involved in a number of antitrust cases which required economic and statistical analysis. His work has examined "but for" scenarios to demonstrate economic impact of anti-competitive actions, development of measures to look at the definition of a fully competitive market, determinants of pricing for a product, and measurement of damages due to unfair business practices. He's also developed models of competitive behavior and return under asymmetric information.

Expert has developed statistical methods and surveys in a number of very applied circumstances, like litigation, where a specific question needs to be answered. In particular, in many situations the size of a population is unknown but key to understanding the potential impact of an action or activity. For example, in a class action, knowing the number of potential claimants is crucial. In asbestos litigation, Vioxx class actions, bankruptcy filings, and similar circumstances developing an estimate of the potential number of claimants is key to a resolution of potential damages.

Econometrics is the application of statistical methods to the study of economic problems. Expert has used and developed econometric procedures in antitrust analysis, in risk assessment, and in particular in studies of banking activities to determine incentives to banks in structuring their loans and evaluating loan reserve requirements. Expert has also combined econometric and biostatistical methods to project liability in bankruptcies for asbestos trusts, the cost of medical monitoring, and the likelihood of claims in toxic tort cases.

Economic damages calculations frequently combine several components, including the likelihood of loss, the loss relative to normal operations for a business, and similar factors that would demonstrate that there is both a potential for loss and also a disruption in economic activity for a business or a household. Expert has combined probability modeling with econometric projection techniques to develop economic damages estimates for a business in a patent infringement case, in class actions, in toxic tort cases involving diminution of property values, and in trademark infringement cases.

Expert specializes in the study of economics and the application of economic theory in antitrust, in the study of banking and risk, and in the financial markets. His work is published in a number of banking and finance journal and is used by the Federal Reserve, by the Small Business Administration, and by the Senate and House Banking Committees in their review of small business activities in the US economy.

Intellectual property covers a broad range of activity, including the issuance, the valuation, and the defense of patents, trademark protection and the likelihood of confusion or dilution, similar issues in trade dress and trade secrets, and economic loss in the case of infringement. Expert has conducted numerous surveys and studies to measure trademark or trade dress confusion, the economic damages due to infringement in the case of confusion, the economic loss in patent infringement, the valuation of a patent for the purpose of sale, licensing, or the future value of a patent for obtaining venture capital. Expert and his firm are also conducting a major research study for the US Patent and Trademark Office on methods for improving the patent application and examination process. This year-long study is commissioned by the US Department of Commerce and will be used to streamline the patent exam process and improve the quality of patent exams.

In every research study there is a potential for error. Some variation naturally results from sampling and some results from imperfect measurement. Expert has decades of experience in the study of measurement error. For the 1980 Decennial Census, Expert was in charge of 26 programs that measured error in the Decennial Census as well as the Undercount measurement program. Expert continued to study and develop measurement error techniques and co-authored a book and multiple journal articles on measurement errors in Censuses and surveys. Methods he developed for estimation of the Census undercount are still in use today in the US Census as well as in Censuses in multiple other countries.

Probability is the quantification of the likelihood of an event. Expert as a statistician works with probabilities in every aspect of his work. As an expert in sampling theory, Expert has developed several new methods for sampling that rely on a thorough understanding of probability. Expert has also derived new probability distributions specific to counting problems - problems that consider the number of times an event may occur in a population (like the number of subprime loans that might default when the default events are correlated).

Reliability is a means of describing the accuracy of a measurement or a set of measurements. Reliability is at the core of the design of most samples in surveys or audits - the size of the sample needed, the type of estimator needed, and the value of the information measured in a study are all driven by reliability. Expert as a sampling expert has developed many means of using reliability for the design of samples and for reporting the accuracy of studies and audits. Similarly in finance, reliability or variability is one of five key components necessary to the estimation of the value of a derivative financial product - Expert has compared and computed reliability and variance measures specific to the evaluation of a derivative product.

Expert, as Chief Statistician for the RTC and FDIC during the banking crisis of the 1990s worked to assess the risk inherent in the banking system and in particular in the portfolio of assets taken from failed banks and thrifts that were under receivership by the Federal government. His analysis comprised the basis for quarterly reports to Congress on the risk in the asset portfolio, the degree of loss that would have to be covered by tax dollars, and the likelihood of future losses or extraordinary losses caused by the seizure of Superfund properties. Expert continues this work for banks and other financial entities in the valuation of portfolios of loans and other assets. Expert also looks at the risk associated with various medical treatments in the fight against AIDS and other diseases.

Expert works with financial institutions on the management of risk in portfolios of loans and other assets over time by considering the likelihood of multiple related events. He's recently published papers in the European Journal of Finance on portfolio optimization over time and by type of borrower and asset. He's also worked with law firms to develop risk management plans in toxic tort cases involving medical monitoring and the likelihood of the development long term diseases.

Expert has developed hundreds of sampling plans for Federal surveys, business surveys, audit operations, litigation studies, and other research involving samples. He teaches advanced sampling theory for the doctoral program at the University of Alabama - Birmingham and has published numerous articles on advanced sampling methods. He was formerly Chief of Survey Design for the US Bureau of the Census and has advised numerous governments on sampling methods for program evaluation. In analysis of population movements and growth, Expert has developed new methods for sampling that permit the estimation of size and volume for populations that are continuously changing or hard to measure, including the homeless, missing children, the flow of products and services (like mail for the Postal Service), and similar problems dealing with ill-defined or mobile populations.

Statistics is a very broad mathematical science encompassing testing, evaluation, and description. For example, audits use samples and statistics to describe the holdings in a fund and also use samples and statistics to test whether errors in the fund exceed a certain threshold. Expert has a doctorate in mathematical statistics and has worked in statistics, economics, and demography for over 30 years. His work is published in numerous journals and two books; he consults for multiple businesses, for Federal and state agencies, and in litigation applying statistics to problems of measurement and testing.

Expert and his firm specialize in surveys and other types of research to study whether there is potential confusion regarding the infringement on a trademark and its use, and similarly with trade dress, copyright, and patent infringement. Expert has designed experiments, surveys, mall intercept studies, and similar types of research to determine whether a likelihood of confusion exists and the damages that might be associated with confusion, dilution, or infringement. He has testified in numerous cases on either the likelihood of confusion or about the adequacy of methods used to measure confusion.

Expert is a professor of Biostatistics in the Department of Biostatistics at the University of Alabama - Birmingham and works jointly with the Department of Medicine. He has designed numerous research studies for the Federal government, including current activities in Africa, South America, and the Far East. He currently has projects in Africa on the transmission of AIDS from mother to newborn, in South America on the rate of infection in prisons of multi-drug resistant tuberculosis, and in the U.S. on the relation of obesity to mortality rates and on the availability and use of mammographies by lower SES populations.




Antitrust: NJ Pharmacy, Inc. et al v. Caremark Pharmacies filed an antitrust case against Pharmacy Benefit Managers (PBMs). Worked for plaintiffs. Developed economic models to show that impact of PBMs in industry was anticompetitive and forced small pharmacies out of business and created barriers to entry. Deposed - class certified for plaintiffs.Trademark/Tradedress Confusion: Manufacturer of liquid energy drinks v. manufacturer of liquid energy drinks. Trade dress infringement. Worked for defendant. 2006-7. A manufacturer of liquid energy drinks sold in gyms, health clubs, and big box retailers filed suit against another manufacturer of liquid energy drinks, claiming that the shape and type on the bottles of the defendant were the same as that of the plaintiffs and caused confusion among potential purchasers. Conducted surveys of potential purchasers of liquid energy drinks to determine whether confusion exists. Bench trial . Defendant won and also got legal fees awarded.Discrimination: Loss of jobs, loss of work hours, lack of promotions for population of blacks working for a manufacturer who laid off blacks first, re-hired (called back) blacks last, refused to promote, and kept overtime for only certain workers. Worked for plaintiffs. Analysis of hiring practices, lay off records, filings with Federal government, and other records to develop pattern of practice analysis.Toxic Tort: Diminution of Value: Three separate Toxic property value diminution cases filed in Florida between 1998 and now. All three cases were environmental contamination cases, with class actions brought against manufacturer. Worked for defense in all three cases on class certification issues and damages calculations. Issues related to homogeneity of class, size of class, determination of whether there was a loss of value in property.Damages: Construction Defects Damages case regarding the calculation of damages based on a sample of housing units inspected and resulting damages extrapolated to the full population of units built in a new subdivision. Sample selected and examined was not valid; models used by plaintiffs resulted in double and triple counting of alleged losses in calculation of damages demanded.

Expert may consult nationally and internationally, and is also local to the following cities: San Antonio, Texas - Austin, Texas - Round Rock, Texas

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Education

Year Degree Subject Institution
Year: 1984 Degree: PhD Subject: Mathematical Statistics Institution: George Washington University
Year: 1973 Degree: MA Subject: Economics Institution: University of Michigan
Year: 1972 Degree: BA Subject: Economics Institution: University of Michigan
Year: 1972 Degree: BA Subject: English Institution: University of Michigan

Work History

Years Employer Title Department Responsibilities
Years: 2002 to Present Employer: Undisclosed Title: Managing Partner Department: Responsibilities: Expert Witness Services, Management of Federal Contracts, Marketing
Years: 1999 to 2002 Employer: ARPC Title: Director Department: Responsibilities: Modeling of Liabilities for Asbestos Bankruptcy Courts
Years: 1996 to 1999 Employer: Price Waterhouse Title: Director Department: Responsibilities: Expert Witness Services in Economics and Survey Methods; Management of Large Federal Contracts
Years: 1990 to 1996 Employer: Federal Deposit Insurance Corporation Title: Chief Statistician Department: Responsibilities: Estimation of Losses from Banking Crisis; Testimony Before Congress; Redesign of Bank Examination System
Years: 1987 to 1990 Employer: Opinion Research Corporation Title: Chief Statistician Department: Responsibilities: Designed and Implemented Surveys for Market Research, Financial Analysis, and Large Scale Federal Contracts
Years: 1984 to 1987 Employer: U.S. Department of Education Title: Chief Statistician Department: Responsibilities: Development of Statistical Office, Standards for Operation, Design of All Surveys Used to Measure Educational Resources and Activities in U.S.
Years: 1975 to 1984 Employer: U.S. Bureau of the Census Title: Assistant Division Chief Department: Responsibilities: Design of US and International Surveys; evaluation of quality of surveys and censuses; development of financial indicators

Government Experience

Years Agency Role Description
Years: 2007 to Present Agency: Department of Justice Role: Quality Control Description: Provide staff of 15 and office to Quality Control all litigation support for all litigation by or against the U.S. Government
Years: 2007 to Present Agency: US Patent & Trademark Office Role: Redesign of Patent Examination and Application Process Description: Conducting large research study to determine how to improve quality and pendency of patent exams
Years: 2004 to Present Agency: Office of Personnel Management Role: Design and Reporting on Financial Statement Audit Description: Design sample for multiple retirement funds managed for all Federal workers; extrapolate sample results to year-end financial statements
Years: 2005 to 2006 Agency: Fed Reserve & SBA Role: Research Design and Implementation Description: Designed and Conducted Survey of Banks regarding methods used to make capital available to small businesses and factors to counter discriminatory lending.

International Experience

Years Country / Region Summary
Years: 2006 to Present Country / Region: Zambia, Cote d'Ivoire, Cameroon Summary: Designed research program for the CDC to measure the rate of transmission of AIDS from mother to newborn in presence of new interventions to stop spread of AIDS.
Years: 2007 to Present Country / Region: Peru Summary: Design of research study on the transmission of multi-drug resistant Tuberculosis between prisons and surrounding communities where families of prisoners reside.
Years: 1987 to 1987 Country / Region: Italy Summary: Statistical models for Fiat for determination of what the attraction value was of different features of cars for different groups of buyers.
Years: 2001 to 2001 Country / Region: France Summary: Seminars, training on risk measurement and risk management in banks.

Career Accomplishments

Associations / Societies
American Statistical Association
Professional Appointments
Research Professor, University of Alabama - Birmingham
Publications and Patents Summary
Over 50 publications in statistics, finance, and economics in U.S. and international journals

Additional Experience

Expert Witness Experience
Testimony in Federal and State courts, in depositions, in arbitrations - nearly 50 testimonies given in last 5 years; Expert consulting in economics, finance, discrimination, damages, trademark, tradedress & patent infringement surveys; statistics, risk measurement and risk management, suitability of investments, FLSA, valuation
Training / Seminars
Professor of Statistics in Business School and in School of Public Health - courses in statistics, economics, research methods
Seminars in subprime risk measurement and management, bank risk, portfolio optimization for banks, diminution of value due to toxic or environmental problems
Marketing Experience
Expert in current Subprime Mortgage meltdown, lending activities of banks, competitive markets, risk measurement and risk management for investors, traders, and for Federal and State regulators;
Expert in methods for measurement of infringement, confusion, and dilution in trademark and trade dress, patent infringement;
Expert in competitive markets and application to antitrust scenarios, unfair business practices, anticompetitive behaviors.
Other Relevant Experience
Large scale data processing; aggregation and use of very large data systems; statistical modeling applied to demographic and financial problems

Fields of Expertise

quality control, acceptance sampling, antitrust, banking, federal student loan, bank fraud, fiduciary duty, trust law, antitrust economics, applied statistics, econometrics, economic loss analysis, economic value, actuarial reserve, economics, intellectual property, measurement error analysis, probability, reliability, risk assessment, risk management, loan underwriting, sampling plan, statistics, trademark, biostatistics, Fair Labor Standards Act, loan operations, loan, financial market, financial statement, census, Federal Deposit Insurance Corporation, employment discrimination, Vioxx, mortality, trade dress infringement, trademark trade dress, dress, toxic tort, economic impact, infringement enforcement, survey sampling, education statistics, financial modeling, patent damage, discrimination, tax, swap, derivative (finance), commodities, bond, governmental relations, governmental investigation, annuities, private equity fund, securities finance, mutual fund, hedge fund, investment, actuarial science, patent prosecution, claim (patent), induced infringement, contributory infringement, direct infringement, insurance, index pricing, spot pricing, finance, environmental economic analysis, patent infringement, design of experiments, environmental statistics, failure rate, econometric model, Bayesian probability, F distribution, medical statistics, SAS programming language, probability distribution, normal distribution, licensable technology, flexible statistical model building, root-mean-square value, risk characterization, multivariate statistical analysis, quantal response analysis, patentability evaluation, patent cost reduction, data correlation, software patent, probability theory, decision analysis, accuracy, continuous distribution function, binomial mathematical distribution, cost-benefit analysis, patent law, demography, patent, damage, ratio, skewed density function, Poisson density function, normal density function, nonparametric statistics, multivariate analysis, mathematical model, Kolmogorov-Smirnov test, histogram, failure analysis, factor analysis, exponential density function, economic analysis, discriminant analysis, discrete distribution function, curve fitting, clinical trial, chi-square method, bivariate analysis

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