Securities Derivatives Futures Expert Witness
Securities, Securities Derivatives Futures Commodity Futures, Securities Derivatives Futures NYSE, Securities Derivatives Futures NASD, Securities Derivatives Futures NFA, Securities Derivatives Futures Training, Securities Derivatives Futures Marketing, Securities Derivatives Futures Trading Of Capital And Derivative Markets, Securities Derivatives Futures Real Time Trading Funded Accounts, Securities Derivatives Futures Brokers Trainer, Securities Derivatives Futures Compliance Procedures, Securities Derivatives Futures Corporate Finance Underwriting, Securities Derivatives Futures Private Placement, Securities Derivatives Futures Merger, Securities Derivatives Futures Divestive, Securities Derivatives Futures Arbitration, Securities Derivatives Futures Variable Annuities, Securities Derivatives Futures Annuities, Securities Derivatives Futures,
Expert Witness No.697
Illinois
Experience
’69, Merrill Lynch Pierce Fenner & Smith
’73, Loewi & Company
Blunt, Ellis & Loewi Incorporated - ( Merger / Name Change )
’88, Kemper Securities Corporation - (Successor firm to B.E.L))
Investors Fiduciary Corporation - (affiliated trust company)
’91, London Investment Trust (“LIT”)
’94, Internationale Nederlanden Gruppe (“ING”) / Baring Bros.
’97, LIT Division of Speer Leeds & Kellogg
NYSE / NASD Registered Representative
NFA Associated Person / Branch Manager
NYSE Branch Office Manager
NASD Principal
Regional Manager - recruiting, training, marketing & supervision of Registered
Representatives
Executive Vice President, Kemper Securities Corp. - divisional / P & L responsibility
Chairman - Investors Fiduciary Corporation (Trust Company)
Executive Director Correspondent Services - order execution / clearing, omnibus &
fully-disclosed services
Consultant to major Japanese & Korean institutions - instructed key employees in
year-long courses in trading of capital & derivative markets - (real-time trading with
funded accounts)
Instructor - Trained more than 500 stock & futures brokers
Contributed to / wrote Compliance & Procedures Manuals; Implemented
compliance/control systems, procedures
Corporate finance - underwriting, private placement, merger / divestiture / acquisition
Former Director
National Futures Association (self-regulatory org.)
Loewi Financial Companies Ltd. (predecessor company to Kemper, First Union),
Investors Fiduciary Corp, INTEX (First offshore electronic exchange)
Dispute Resolution Experience
NASD
Exchange
NFA and AAA arbitration
Federal Reparations Proceedings
Litigation - jury and bench trials - Federal & State. (Litigation / arbitration experience since late ’70’s)
Summary
Continuous employment in the Securities and Derivatives industry 1969 - 2000.
Progression of responsibilities from account executive to executive vice president,
training, managing and supervising many facets of investment and proprietary trading,
including product development / distribution; Corporate Finance.
Arbitrator
Exchanges
NFA
Appellate panelist
Former Memberships
Chicago Board of Trade
Chi. Mercantile Exchange
Chi. Board Options exchange
Int’l Monetary Market
Intex, MCE
Association of Certified Fraud Examiners (Securities)
Registrations
S-3 Commodity Futures)
S-7 (General Securities)
S-8 (Sales Supervision)
S-8BM (NYSE Branch Office Manager)
S-24 (Securities Principal)
S-52 (Municipal)
S63 (States Blue Sky)
(All granted 1969 thru 1980)
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