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Investment Consultant Expert Witness

Provides Opinion & Testimony In:

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

 

Qualifications:

Expert 943's expertise covers virtually all areas related to stocks, options, fixed income, mutual funds, annuities and other insurance products, futures, etc. He has been a manager and an investment consultant with forty-four years of experience in the securities and derivatives industries. Member of NFA arbitration panels.

Career History and Accomplishments:

Expert Witness, June 2003-Present
Sole Proprietor

Retained as an Expert Witness in over forty cases, acting for the plaintiff or defendant.

GBS Financial Corp., Nov. 2003-Sep. 2006
Independent Contractor

Investment Consultant to a large Institutional Account, providing advice on technical analysis of market indices and individual securities.

Securities & Investment Planning Co., Jan. 2002-Nov. 2003
Independent Contractor

Investment Consultant primarily to a large Institutional Account, providing advice on technical analysis of market indices and individual securities.

Field Logan & Co., LLC, Dec. 1997-Dec. 2001
President

A 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.

Beckman Investment Securities, Apr. 1997-Nov. 1997
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.

Wells Fargo Securities (WFSI), a Subsidiary of Wells Fargo & Co., 1994-1997
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 other financial instruments primarily to institutions for their cash management needs.
•    Managed Training and Compliance Departments 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.

Private Company, 1981-1994
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.

Bache Halsey Stuart (now Wachovia Securities), 1966-1981
Vice-President, Sales

•    Handled both individual and institutional accounts. Investments included stocks, bonds, mutual funds, options, futures, etc.

Past Licenses:

NASD Series (various)
California Life and Disability.

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

Additional information:

Languages: Fluent in Italian, knowledge of German, French and Spanish.


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