Business Administration - DePaul University, Chicago, IL
Business Administration - Lake Michigan College, Chicago IL
Securities and Exchange Laws, Security Acts 1933 and 1934
Rules and regulations - National Association of Securities Dealers (NASD)
State(s) Blue Sky laws
State Insurance compliance regulations, and policy underwriting
Insurance Policy interpretations, Marine, General Liability P & C Jones Act, Environmental, Financial Liability
Fraud investigations, interfaced with F.B.I. and U.S. Department of Treasury
United States Department of Treasury: Monitoring transactions paid in hard currency
Treasury Agent Seminars on discovering illicit accounts
Security payments in Cash money laundering
New Account(s) background and profile
Indicators of mob infiltration for investments
Filing with Treasury on Cash deposits
Federal Bureau of Investigation Training to recognize organized crime figures masquerading as a genuine business.
Interfaced with "FBI Cargo Cats" .Cargo Thefts
LaSalle Street Cashiers Chicago 5 years
OTC Traders 5 years
Privately Owned Consulting Company - 2000 to Present.
Senior Consultant to Attorneys, expert witness and case direction, research analysis
Seminar Leader, Int'l Trade & Monetary Exchanges, Seminars on Letters of Credit
Bomar International 1974 -2000 C.E.O. & President.
International Supplier of Capital Equipment, distribution 85% international. Administration of all subordinate departments:Accounting, Marketing, Purchasing, Shipping and Logistics, Sales, Sales Management. International interface with Foreign Embassy's and Counsels for development of int'l trade. Oversight in following: Trade Shows, Seminars, Consulting, Sales Mgmt, Sales Force (60)
Information Tech and Sales Training Seminars. Extensive interaction with foreign commercial attache's in U.S. Embassy's and counsels in eight foreign posts
Wm Blair & Co 1968-1974 NYSE Firm:
Syndicate management, underwriting disbursements, new accounts manager: daily trade data, dividends dept order entry regulatory compliance
McDonnell & Co 1963-1968 NYSE Firm: V.P Operations & Compliance.
In six mid western offices. Managed cashiering, trading, directed stock broker training. Leader for exam preparations. Interfaced with state & federal regulatory agencies.
Blue sky laws
Graham & Dodd "Security Analysis & Accounting Practices"
NYSE, AMES & Midwest Exchange procedures and parameters
NYSE rules and regulations
Client oversights, Margin Calls, Regulation "T" and "U" Procedures for "Buy-Ins" and account sellouts Researching red herrings and prospectus(s)
Client dossiers and management interfacing
Opening new accounts and delineating brokers responsibilities
Order entry, time and sales, orders ahead, and quotations
Option trades, straddles, warrants and rights
Short sales and borrowing securities, on cash basis
Broker's liability, trading on rumors and full disclosure rule
Margin Calls, account maintenance and regulation "T" and sell outs
Dividends and leveraging future payments for cash purposes
Required disclosures on volatile and speculative securities
Confirmation notations, as agent or as principle
Client agreement(s) discretionary trading, limited trading
Rule 431 NYSE: Margin requirements
Rule 401 NYSE: Good business practices
Rule 721 NYSE: Supervision of options accounts
Rule 724 NYSE: Discretionary trading in options contracts
Rule 352 NYSE: Member representative guarantees to clients
Rule IM-8260 NASD: Conduct Rules
Rule IM-2310 NASD: Conduct Rules - Excessive Trading
Rule IM-2310 NASD: Conduct Rules - supervision of activities within clients four rules
Rule IM 2110 NASD: Conduct rules for standard of commercial honor investment clubs for the season trader or neophyte Regulations under Blue Sky Laws and Exchange parameters short selling, options leverage and borrowing securities.
Understanding "Puts and Calls"
Short selling risks, borrowing securities, capital requirements Non-leveraging interest payments Margin trading risks, cash management and sell outs .Rumors, insider information and "Hot Tips" Brokers pressure, presumed upside and downside potential(s)
Basic math, application of interpolate
Day trading, charting and seasonal trends
SEC requirements for Corporate Officers to report taking positions in their firm
Mutual Funds and capital appreciation
Accounting methods encapsulating future deliveries taken prematurely
Leveraging positions with puts and calls
Gambling with purchasing options
Reliance on accounting firms disclosures and reporting
Beware Insurance Agents offering the Ponzi Scheme.
Letters of Credit, "Taking the Banker our of your pocket"
Authoring Letters of Credit, understanding the confirmations
Consulted with State Securities Director for Wisconsin
Authored several questions for state securities examination
Technical Consultant to United States Fidelity & Guaranty Insurance, covering Securities Fraud and illegal leveraging securities under Regulation "U"
Insurance interface with brokerage liabilities, brokers liabilities
Insurance policy interpretations and underwriting parameters
Insurance endorsements, claims policy and settlements
Compliance with Regulation "U" Banking
Lists of Companies and Training provided upon request
Available upon request
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