Securities Derivatives Commodities Futures & Options Expert Witness

EXPERT NUMBER: 697. STATE: WI. REGION: Central, Eastern, Midwest.

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

Expert Witness No.697

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 (“LIT”)

’94, Internationale Nederlanden Gruppe (“ING”) / 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)