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Securities Financial Consultant Expert Witness

Keywords

Securities Financial Consultant, Securities, Securities Financial Consultant Common Stocks, Securities Financial Consultant Preferred Stocks, Securities Financial Consultant Bonds, Securities Financial Consultant Annuities, Securities Financial Consultant Mutual Funds, Securities Financial Consultant Tax Preparation, Securities Financial Consultant Insurance, Securities Financial Consultant Managerial Problems, Securities Financial Consultant Sexual Harassment, Securities Financial Consultant Hostile Work Environment, Securities Financial Consultant Lack Of Training, Securities Financial Consultant Lack Of Supervision, Securities Financial Consultant Hiring, Securities Financial Consultant Unauthorized Trading, Securities Financial Consultant Churning,

California

Expert Witness No.1074

California

Business Specialty

Expert Witness for Securities Industry Arbitrations.
Product specialty areas include Stocks, Bonds, Options, Mutual Funds, Annuities, Managed Money (fee based), Insurance and Tax Preparation Services.
Have served as Corporate Representative in Arbitrations with NASD panels on the West Coast.
Familiar with plaintiffs, attorneys and large wire house legal firms.

Areas of Strength

Common Stock, Preferred Stock, Initial Public offerings, Bonds - taxable and tax free, Mutual Funds -Open ended and Closed end, Call and Put Options and Option Strategies, Annuities - Fixed and Variable.
Currently qualified to review cases involving churning, unauthorized trading, and unsuitable recommendations beyond client investment objectives.
Qualified to review cases involving Managerial problems such as Memo of Understanding, raiding of books, hiring problems, sexual harassment, hostile work environments, lack of training, lack of supervision.
Able to review cases and advise attorney on potential for case, possible damages, and extent of damages.

Professional Licenses

NASD Series 7,8,63,65.
California Licensed for Annuities and Life Sales. Also approved in Florida and Oregon.

Education

Graduate 1976 San Marino High School

Graduate 1978 Pasadena City College

Studied Economics 1978 - 1980 at University of California, San Diego

Affiliations

The Options Institute - 1991 graduate. Qualified instructor to firm clients & account executives.

San Diego Stock & Bond Club - Past President. Member since 1988.

Business Experience

Owner and President - Phelps Dennison & Associates, San Diego, CA 1981-1986

Specializing in Tax Preparation and Insurance Services

Securities Industry

Paine Webber - Financial Advisor, Escondido, CA 1986 - 1989

Prudential Securities - Vice President

Financial Advisor, Rancho Bernardo, CA 1989

Management Training Associate, La Jolla, CA 1990

Manager, East Coast Training Center, New York City 1991 - 1993

Regional Training Officer, Newport Beach CA 1993 - 1996

Smith Barney - Sr. V.P., Financial Consultant, La Jolla, CA 1996 - 1998

Everen Securities - Sr. V.P., Branch Manager - La Jolla, CA 1998 - 2001

Became First Union Securities 1999, which became Wachovia Securities 2001

Local Securities Firm - Sr. V.P. - San Diego, CA 2001 - present

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