Banking Securities Insurance Fraud Expert Witness

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Banking Securities Insurance Fraud Expert Witness

Provides Opinion & Testimony In:

Banking Securities Insurance Fraud, Banking Fraud, Letters Of Credit, Securities, Securities Fraud, Securities Law, Exchange Law, NASD, Blue Sky Law, Insurance Compliance Regulations, Marine Insurance, Jones Act, Fraud Investigations, Money Transactions, Money Laundering, Illicit Accounts, Stock Broker, NYSE, AMES, Midwest Exchange, Margin Calls, Regulation T, Warrants, Rights, NASD Conduct Rules, Puts, Calls, Regulation U, Foreign Currency Exchanges, Cargo Insurance, General Average Losses, Churning, Unauthorized Trading, Derivatives, Bond Funds, Mutual Funds, Pump Dump, Insurance Ponzi Schemes, Reg U, Reg R, Reg Z, Prime Bond Funds, Sub Prime Bond Funds, Stand By Letters Of Credit,

Expert Witness No.2890

Illinois

Educational Background 

Business Administration – DePaul University, Chicago, IL

Business Administration – Lake Michigan College, Chicago IL

Research Experience 

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

Special Assignments and Professional Affiliations 

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

Employment Experience

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.

Stock Broker Instruction Courses Given 

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

Client Seminars given (Investments)

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”

News Letters for Clients

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 practices

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

Related Experience Investment Securities

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

Related Experience in Insurance Industry 

Lists of Companies and Training provided upon request

Corporate Seminars

Available upon request


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