R. Wayne Klein

Wayne Klein spent more than twenty-five years in the investigation and prosecution of white-collar fraud for government agencies in Utah and Idaho. He has been quoted frequently in the Wall Street Journal, New York Times, and BusinessWeek and was featured prominently in Kurt Eichenwald’s book Serpent on the Rock. FIDUCIARY SERVICES: Mr. Klein has been appointed by state and federal courts as a Receiver to investigate the operations of companies in trouble and liquidate the assets. This includes investment Ponzi schemes and creditor recovery actions. Forensic accounting is utilized to identify sources and expenditures of funds and to locate assets to recover. EXPERT WITNESS: Wayne serves as a consulting and testifying expert in securities litigation, securities arbitration, and antitrust cases analyzing compliance with the law and the liability of various parties. INTERNAL INVESTIGATIONS: Wayne provides an independent investigation of transactions or conduct for companies that have discovered questionable activities. EMPLOYMENT EXPERIENCE KLEIN & ASSOCIATES, PLLC, 2009-Present, Founder Provides investigative, forensic accounting, analytical, and consulting services in complex financial matters and litigation. Mr. Klein also currently serves as the Chair of the Litigation Section of the Utah State Bar. LEWIS B. FREEMAN & PARTNERS, INC., 2008-2009, Principal Opened Salt Lake City office for Miami-based firm that provided forensic accounting, receivership, and consulting services. When LBF&P decided to close its Utah office, Klein & Associates was formed. Mr. Klein provided assistance on LBF&P cases in Florida and generated new business for the firm in the Intermountain West. UTAH DIVISION OF SECURITIES, 2005-2008, Director Directed state agency responsible for licensing of securities professionals, registration of securities, and investigation and prosecution of suspected investment fraud. Served as presiding officer for certain enforcement actions. Set regulatory policy, handled legislative matters, and coordinated regulatory and enforcement efforts with other states and federal agencies. UTAH ATTORNEY GENERAL’S OFFICE, COMMERCIAL ENFORCEMENT DIVISION Division Chief, 2001-2005; Head of Antitrust Unit, 1998-2001; Assistant Attorney General, 1996-1998. As Division Chief, supervised attorneys in advising agencies about, and bringing enforcement actions for violations of antitrust, securities, consumer protection, real estate, corporations, and professional licensing statutes. Notable cases include lead counsel in investigation of analyst conflicts of interest by Goldman Sachs, Microsoft antitrust action, and being appointed as Special Assistant to the U.S. Attorney General. IDAHO DEPARTMENT OF FINANCE, Securities Bureau Chief, 1986-1995 Directed state agency in administering securities laws, commodity code, and corporate takeover law. IDAHO ATTORNEY GENERAL’S OFFICE, Deputy Attorney General, 1983-1986 Investigated and litigated securities and commodities fraud enforcement actions and provided legal counsel to state bank regulators. FIRST SECURITY BANK OF UTAH, N.A. CORPORATE TRUST DEPARTMENT, 1982-1983 Administered trusts for corporate and municipal financings and handled default problems.