Joseph “Joe” M. Pimbley is a Testifying Expert at Bates and the Principal of Maxwell Consulting, a firm he founded in 2010, as well as Editor of the Journal of Derivatives. Joe is expert in complex financial instruments, financial risk management, valuation, structured products, derivatives, banking, securities trading, investment analysis, quantitative algorithms, and numerical coding in several languages. His recent and current engagements include valuation and credit underwriting for structured and other financial instruments, electronic trading, and litigation testimony and consultation.
Joe’s earlier Wall Street roles included positions as quantitative analyst, risk manager, derivative trader, and portfolio manager reaching the level of Executive Vice President for Head of Institutional Risk in New York. His experience during that period included leadership of business groups, information technology, enterprise risk management, and quantitative modeling teams. Prior to his financial career, Joe worked as a semiconductor device physicist and assistant professor of applied mathematics.
Joe has a Ph.D. in Theoretical Physics and is a co-author of Banking on Failure (2014), Simple Money (2013), and Advanced CMOS Process Technology (1989). He has published more than 70 finance articles, nearly 100 articles on technical topics, presented more than 70 finance seminars, and authored numerous patents for engineering inventions. More detailed information about Joe’s extensive publishing experience available upon request.
Bates Group LLC, Testifying Expert, 2018 – Present
Maxwell Consulting, LLC, Principal, New York, NY, 2010 – Present
Journal of Derivatives, Editor, New York, NY, 2018 – Present
777 Partners, LLC, Derivatives Strategist, remotely, New York, NY, 2021
Duff & Phelps, LLC, Managing Director, Financial Engineering, New York, NY, 2008 – 2010
ACA Capital Holdings (ACA), Executive Vice President, Head of Institutional Risk, New York, NY, 2002 – 2008
Sumitomo Mitsui Banking Corporation Capital Markets (SMBC CM), Senior Vice President, Credit Derivative Product Manager, New York, NY, 1997 – 2002
Financial Guaranty Insurance Company, Senior Risk Manager, Capital Markets Services, New York, NY, 1995 – 1997
Moody's Investors Service, Senior Analyst Structured Finance, Corporate Division, New York, NY, 1994 – 1995
Citicorp North America Global Finance, Assistant Vice President, Risk Analytics, New York, NY, 1993 – 1994
Rensselaer Polytechnic Institute, Assistant Professor in the Department of Mathematical Sciences, Troy, NY, 1987 – 1993
General Electric Corporate Research and Development Center, Staff Physicist, Schenectady, NY, 1980 – 1987
Doctor of Philosophy (PhD), Theoretical Physics, Rensselaer Polytechnic Institute, Troy, NY
Master of Science (MS), Physics, Rensselaer Polytechnic Institute, Troy, NY
Bachelor of Science (BS), Physics, summa cum laude with minor in Mathematics, Rensselaer Polytechnic Institute, Troy NY
GARP Risk Professional, Editorial Board member
Polytechnic University Center for Finance & Technology, Advisory Board
Sigma Pi Sigma, National Physics Honor Society
Institute of Electrical and Electronic Engineers (IEEE), Senior Member
Sigma Xi, scientific research society
Institute of Electrical and Electronic Engineers (IEEE), Election Devices Society
Society for Industrial and Applied Mathematics (SIAM)
American Association for the Advancement of Science (AAAS)
Global Association of Risk Professionals, Editorial Board of Risk Professional, 2003 – 2018
Solve Advisors, Inc., Board of Directors, 2013 – 2021
Loud-Hailer, Inc., Board of Directors, 2015 – 2020
Financial Risk Manager – Certified by the Global Association of Risk Professionals, 2014
Passed the Series 7 and Series 63 General Securities Representative Examinations, 1997
Member of the Polytechnic University Advisory Council of the Center for Technology & Financial Services, 1996
Elected to Senior Member of the IEEE, 1991
Chairman of the Annual Workshop on Mathematical Problems in Industry at Rensselaer Polytechnic Institute, 1989 – 1992
Chairman of the Center for Integrated Electronics VLSI Seminar Series at Rensselaer Polytechnic Institute, 1988 – 1990
General Electric Research and Development Center, Dushman Award for “outstanding technical contributions” to the VLSI Program, 1986
Rensselaer Polytechnic Institute, Karen and Lester Gerhardt Prize awarded annually for the best Ph.D. thesis from the Schools of Science and Engineering, 1985
Rensselaer Polytechnic Institute, H.B. Huntington Prize awarded annually for the best research by a student in the Physics Department, 1985
General Electric Research and Development Center, Dushman Award for “outstanding technical contributions” to the CID Imager Program, 1982
National Merit IBM Thomas J. Watson Scholarship, 1976
New York State Regents Scholarship, 1976
FINANCE ARTICLES
QUANT PERSPECTIVES
Monthly column for the Risk News and Resources publication of the Global Association of Risk Professionals
JOURNAL ARTICLES
Nearly 100 refereed articles in the fields of electrical, chemical, and nuclear engineering and semiconductor physics—list available upon request.
Seventy-plus public presentations for financial professionals on a wide range of topics in the capital markets from 1994 to the present. This list is available upon request. Four recent presentations are cited below.
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