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800-683-9847

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,

 

 

Expert No. 2314
 

EDUCATION

B.A. Magna cum Laude
Dartmouth College

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 200 million
Member of the Board of Directors of Smith Barney and Executive Vice President of the Firm

EXPERT WITNESS CREDENTIALS

Retained approximately 1700 times, given testimony on approximately 700 occasions in over 40 states
Testified in State and Federal courts in various jurisdictions, in arbitration proceedings, in mediations and in SRO disciplinary hearings

TOPICS

Among the topics qualified to present expert testimony:
Annuities
Auction Rate Securities
Back office procedures
Broker forgivable notes
Churning and excessive trading
Commissions and mark-ups
Damages
Employment issues
Hedge Funds
Hedging strategies for concentrated positions
High Yield Bonds and other complex debt instruments
Inter-firm hiring disputes and raiding
Limited Partnerships
Managed Money
Municipal Bonds
Mutual Funds
Options trading
Registered Investment Advisor issues
Regulatory disciplinary matters 
REITs and TICS
Retirement strategies
Rule #144 and other control stock issues
Suitability
Supervision and Compliance
Trading away
U-4 and U-5 filings
This is meant to be a representative list but is not all inclusive

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

Groups

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