Retail Stockbroker Securities Expert Witness

Provides Opinion & Testimony In:

Annuities, Auction Rate Securities, Back Office Procedures, Broker Forgivable Notes, Churning Excessive Trading, Commissions Mark-Ups, Damages, Employment Issues, Hedge Funds, Hedging Strategies For Concentrated Positions, High Yield Bonds Other Complex Debt Instruments, Inter-Firm Hiring Disputes Raiding, Limited Partnerships, Managed Money, Municipal Bonds, Mutual Funds, Options Trading, Registered Investment Advisor Issues, Regulatory Disciplinary Matters, Reits TICS, Retirement Strategies, Rule #144 Control Stock Issues, Suitability, Supervision Compliance, Trading Away, U-4 U-5 Filings,

Industry Experience

  • Retail Stockbroker
  • Institutional Salesperson
  • National Institutional Sales Manager responsible for recruiting and managing a nationwide sales force
  • Resident Sales Manager of a 100 person branch office
  • Regional Director for a 1,000 person region with revenues in excess of 250 million
  • Member of the Board of Directors of Smith Barney and Executive Vice-President

Expert Witness Credentials

  • Retained more than 1,700 times, given testimony on approximately 750 occasions in over 40 states.
  • Testified in state and Federal court in various jurisdictions, in arbitration proceedings, in mediations and in SRO disciplinary hearings.


  • Qualified to present expert testimony on the following topics, which is a representative list but not all inclusive.
  • Alternative Investments
  • Annuities-Fixed & Variable
  • Back Office Procedures
  • Broker Forgivable Notes
  • Churning and Excessive Trading
  • Commissions & Mark-ups
  • Complex Debt Issues
  • Damages
  • Due Diligence
  • Elder Abuse
  • Employment Issues
  • ETFs & ETNs
  • Hedge Funds
  • High Yield Bonds
  • Inter-firm Hiring Disputes & Raiding
  • Limited Partnerships
  • Managed Money
  • Master Limited Partnerships
  • Municipal Bonds
  • Mutual Funds
  • Options trading-Was previously a Registered Options Principal
  • Outside Business Activities
  • Private Equity & Private placements
  • Registered Investment Advisor Issues
  • Regulatory Disciplinary Matters
  • REITs
  • Retirement Strategies
  • Rule #144 & Other Control Stock Issues
  • Suitability
  • Supervision & Compliance
  • Trading Away
  • U-4 & U-5 Filings


  • B.A. Magna Cum Laude, Dartmouth College

Past Licenses Held

  • NYSE — Registered Representative
  • NYSE — Branch Office Manager
  • ASE, CBT, NASD, NYSE — Registered Options Principal
  • NASD — General Securities Principal
  • National Futures Association — Associated Person