Retail Stockbroker Securities Expert Witness

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You’ll pay nothing to have us do the hunting for the perfect expert witness for you. If, for any reason we don’t have the perfect expert in our network, as always, we’ll do the recruiting for free. Since 1995, we continue to expand our network.


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