Roberts W. Brokaw III

Principal Consultant


B.A. & M.A., Economics, Yale University, 1972
M.B.A., Harvard Business School, 1974
FINRA (formerly NASD) securities registrations: Series 7, 24 and 63

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Mr. Brokaw began his career in 1974 as an investment banker at Merrill Lynch and predecessor firm White, Weld & Co. He was elected Vice President in 1978 and Managing Director in 1985. His investment banking engagements have included both the initiation and the execution of complex transactions. In 1997, he became a Managing Director and Corporate Finance Group Head at PaineWebber Incorporated, where his responsibilities included origination and structuring of all equity-linked financings. In 2000 he joined Bear, Stearns & Co., Inc. as a Senior Managing Director in the Structured Products Group. There, his responsibilities included design and execution of transactions involving complex mergers and acquisitions, issuance of equity and debt, and strategic restructurings. Mr. Brokaw designed and oversaw the investment banking training programs at Merrill Lynch and PaineWebber, and was a member of those firms’ Commitment Committees. He has been an expert witness since 2002. 

Mr. Brokaw was an adjunct professor of finance in New York University’s M.B.A. program, where he designed an original case-based course on equity-related transactions, and a senior professional fellow at NYU’s Center for Law and Business.

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Expert witness, investment banking practices, bankruptcy, business and equity valuation, recapitalizations, equity-related securities

Industry Experience

Investment banking, corporate finance

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