Investment Consultant Expert Witness
Investment Consultant Securities, Stocks, Options, Annuities, Insurance, Compliance, Futures, Investment Consultant Commodities, Fixed Income, IBonds, Mutual Funds, Investments, Private Placements, Investment Consultant,
Expert Witness No.943
EDUCATION
Polytechnic Institute of Rome (Italy)
Advanced degree (“Master” equivalent) in Chemical Engineering. Graduated with highest honors.
University of California (Berkeley)
Business and Management Courses
New York Institute of Finance
Investment Courses
PAST LICENSES
NASD Series 3, 4, 7, 24, 28, 52, 53, 63, 65 licenses
California Life and Disability license
EXPERIENCE
2003 – Present – Expert Witness – Sole Proprietor
Retained as an Expert Witness in over fifty cases, acting for the plaintiff or defendant.
Nov. 2003-2006, GBS Financial Corp., Independent Contractor Investment Consultant to a large Institutional Account, providing advice on technical analysis of market indices and individual securities.
Jan. 2002-Nov. 2003, Securities & Investment Planning Co., Independent Contractor Investment Consultant primarily to a large Institutional Account, providing advice on technical analysis of market indices and individual securities.
Dec. 1997-Dec. 2001, Field Logan & Co., LLC, PresidentA full service broker/dealer, member of NASD, MSRB and SIPC. Responsible for recruiting and managing brokers; supervising trading in customers’ accounts; developing a trading platform; selecting investment products to be offered by brokers to their clients; managing the firm’s finances in accordance with Regulatory Agencies’ requirements. Investments included stocks, bonds, mutual funds, annuities, options, etc.
Apr. 1997-Nov. 1997, Beckman Investment Securities, President
Responsible for recruiting and managing brokers; supervising customers’ accounts; selecting investment products to be offered by brokers to their clients. Investments included stocks, bonds, mutual funds, annuities, options, etc.
1994-1997, Wells Fargo Securities (WFSI), a Subsidiary of Wells Fargo & Co., Senior Vice-President and Managing Director
Member of the Senior Management Team of Wells Fargo’s Savings and Investment Group and Wells Fargo Securities. Participated in strategy and development of new products.
Investments included stocks, bonds, mutual funds, annuities, options, etc.
Responsible for the management of the full-service brokerage unit: two offices, San Francisco and Los Angeles, with a total staff of approximately 30 people.
Responsible for managing Capital Investment Accounts, a very profitable Wells Fargo Bank Dealer brokering CDs, treasuries and CP primarily to institutions for their cash management needs.
Managed Training Department for full-service and branch brokers.
Developed an automated full-service brokerage unit and oversaw automation project of branch investment sales offices.
Introduced new financial products to help brokers in managing clients’ accounts.
1981-1994, California Securities Corp., Owner and Manager
Managed full-service brokerage firm, with four branches in the San Francisco Bay Area. Investments included stocks, bonds, mutual funds, options, futures, etc.
Responsible for opening accounts; executing transactions in compliance with Regulatory Agencies’ Rules; managing the Firm’s finances as required by Federal and State Agencies.
Developed unique uses of Chaos Theory and Artificial Intelligence (with particular emphasis on Neural Networks) to aid in technical analysis of market trends.
1966-1981, Bache Halsey Stuart (now Wachovia Securities), Vice-President, Sales
Handled both individual and institutional accounts. Investments included stocks, bonds, mutual funds, options, futures, etc.
LANGUAGES
Fluent in Italian,
Knowledge of German, French and Spanish
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