Provides 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.
Topics
- 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
Education
- 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
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