Securities Derivatives Commodities Futures & Options Expert Witness

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.