Provides Opinion & Testimony In:
Securities, Securities Derivatives Futures Commodity Futures, NYSE, NASD, NFA, Training, Marketing, Trading Of Capital Derivative Markets, Real Time Trading Funded Accounts, Brokers Trainer, Compliance Procedures, Corporate Finance Underwriting, Private Placement, Merger, Divestive, Arbitration, Variable Annuities, Annuities
Employment
69, Merrill Lynch Pierce Fenner & Smith
73, Loewi & Company
Blunt, Ellis & Loewi Incorporated – ( Merger / Name Change )
88, Kemper Securities Corporation – (Successor firm to B.E.L))
Investors Fiduciary Corporation – (affiliated trust company)
91, London Investment Trust (“LITâ€)
94, Internationale Nederlanden Gruppe (“INGâ€) / Baring Bros.
97, LIT Division of Speer Leeds & Kellogg
Experience
NYSE / NASD Registered Representative
NFA Associated Person / Branch Manager
NYSE Branch Office Manager
NASD Principal
Regional Manager – recruiting, training, marketing & supervision of Registered
Representatives
Executive Vice President, Kemper Securities Corp. – divisional / P & L responsibility
Chairman – Investors Fiduciary Corporation (Trust Company)
Executive Director Correspondent Services – order execution / clearing, omnibus & fully-disclosed services
Consultant to major Japanese & Korean institutions – instructed key employees in year-long courses in trading of capital & derivative markets – (real-time trading with funded accounts)
Instructor – Trained more than 500 stock & futures brokers
Contributed to / wrote Compliance & Procedures Manuals; Implemented compliance/control systems, procedures
Corporate finance – underwriting, private placement, merger / divestiture / acquisition
Former Director
National Futures Association (self-regulatory org.)
Loewi Financial Companies Ltd. (predecessor company to Wells Fargo Advisors),
Investors Fiduciary Corp, INTEX (First offshore electronic exchange)
Dispute Resolution Experience
NASD – FINRA
Exchange
NFA and AAA arbitration
Federal Reparations Proceedings
Litigation – jury and bench trials – Federal & State. (Litigation / arbitration experience since late ’70’s)
Summary
30-year
veteran of the Securities and Derivatives industry. Progression of responsibilities from stockbroker
to executive vice president / director, training, managing and supervising many
facets of investment and proprietary trading, including product development / distribution;
Corporate Finance.
Arbitrator
Exchanges
National Futures Association – Appellate panelist
Former Memberships
Chicago Board of Trade
Chicago Mercantile Exchange
Chicago Board Options exchange
Int’l Monetary Market
Intex, MCE
Association of Certified Fraud Examiners (Securities)
Registrations
S-3 Commodity Futures)
S-7 (General Securities)
S-8 (Sales Supervision)
S-8BM (NYSE Branch Office Manager)
S-24 (Securities Principal)
S-52 (Municipal)
S63 (States Blue Sky)