Securities Financial Education Expert Witness

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Securities Financial Education Expert Witness

Provides Opinion & Testimony In:

Securities, Common Stocks, Bonds, IPOS, Mutual Funds, Limited Partnerships, REITS, Private Stock Offerings Scorecards Analysis Damage Calculations Unsuitability, Breach Fiduciary Duty, Supervision, Overreaching, Churning, Stock Manipulation, RIA Activities

Expert Witness No.827

California

Expert witness/Consultant in arbitration/litigation involving securities, insurance and annuities, nationwide. Testifying in 356 arbitrations (700+ retentions) before FINRA/NASD/AAA/NYSE/PSE with 98 mediations in AK, CA, OR, AZ, HI, ID, TX, IL, KS, KY, LA, MA, MI, MO, NM, NV, OH, NY, GA, TN, UT, WA , WV & FL. (No charge for non-stop air flight time).
Expert, RFC, has qualified and testified as a Securities Industry Expert before the Los Angeles, Fresno and Orange County State Courts plus as an Insurance Industry Expert before the State Court of Nevada and serves as a FINRA arbitrator. Services are provided for both claimants (65%) and respondents(35%).

AREAS OF STRENGTH

Common/preferred stocks, corporate, municipal and junk bonds, IPO’s, mutual funds, variable/equity-index annuities, life insurance/VUL, L.P.’s, private placements, REITS, TIC’s, sub-prime mtges., options, CMO’S, REMICS, auction-rate, mortgage backed securities & Rule 144 private stock offerings, private securities, reverse convertibles & other structured products and IRS 72(t) problems. P&L’s/damage calculations provided. Testifying as to suitability, fiduciary duty, due diligence, underwriting & supervision, overreaching, churning, “selling away”, over-concentration, unsuitable asset allocation, intentional and negligent misrepresentation, promissory fraud, modern portfolio theory analysis, standard deviation, Sharpe ratio, stock manipulation, best execution, margin, mark-ups &-mark-downs, on-line trading, employee termination disputes, RIA activities, control person liability, “financial suicide”, reverse churning,401-K administrator and trustee responsibilities, standard-of-care, industry custom and practice plus compliance.

PROFESSIONAL LICENSES

  • MEMBER, FINRA. BOARD OF ARBITRATORS  – Panel Chairman – NASD-April ’00.
  • Series 7, 24 , 27*, 63, 65, 79, 99 – life ins.& var. contracts , real estate* *previously held

EDUCATION

  • California State College at Los Angeles (B/A – Speech & Communication)
  • American Institute of Banking School of Finance & Taxation – Graduate – Los Angeles District Chapter

AFFILIATIONS

12/2018 – State Bar of California – Designated Securities Expert Witness (Akili Nickson – Senior Trial Counsel)

Practising Law Institute – Panelist, Marketing Compliance – 1972 – R/E Syndication; Money Magazine – January, 2006

Panelist & Speaker-Annual Seminar for Securities Brokers 2000-2003, sponsored by Registered Representative Magazine and On Wall Street magazines; Speaker-Panelist & Article, PIABA Conventions, 10 ’03 & 2 ’04; KFWB Radio, November, 2003. Member – Society of Industry Leaders; Int’l Assn. of Registered Financial Consultants (IARFC), AAII, Palos Verdes Tennis Club; Life Member – American Institute of Banking – Pasadena Dist. Chapter (AIB), & Adjunct Faculty Member – Round Table Group. FINRA Licensed Professionals; Broker Dealer Lawyers Practice Group; Securities Litigation Enforcement Group.

BUSINESS EXPERIENCE

Securities

Carlsberg Securities Corporation – 1969-1982

  • V.P. Marketing – Securities – Insurance – R/E syndication – Branch Manager – Member Bd. of Directors

Westfield Capital Corporation – 1982-1986

  • V.P. Marketing – Securities – R/E syndication – Branch Manager

Boardwalk Capital Corporation – 1987-1990* – Acting Branch Manager

  • National Sales Director/Recruiting – Full service financial planning broker/dealer
  • Chairman of due diligence committee, licensing and marketing compliance officer for 200 registered representatives.
  • President – Registered Investment Adviser- Boardwalk Asset Management Corp.

Financial Education Network Development

  • 1990-2001 – Owner & founder of a financial planning firm providing educational. retirement. financial. planning seminars for corps., nationally. From
  • 1999 to the present, the firm has added an emphasis upon expert witness activities, with 10 arbitrator assignments and 4 awards.
  • 1991-1999 – Eric Equities, Inc. – Securities, Annuities & Insurance – Branch Supervisor
  • 1999 -2000 – Locust Street Securities -Insurance and Annuity Sales
  • 1/2001- 1-14-2010 – Empire Securities Corporation – Home Office Principal & Director of Advertising Compliance
  • 2010 – 7-31-2011 – American Independent Securities Group, LLC – Registered Principal-Compliance Consultant-Due Diligence
  • 8/2011 – 12-28-18 Silber Bennett Financial, Inc.- Home Office Supervisor/Reg. Principal – Due Diligence & Director of Advertising Compliance
  • January 2019 – Woodbury Securities, Inc. (Pending)

Commercial Banking

  • Bank of America – 1959-1965 – Asst. VP – Corporate Finance – National Division
  • Union Bank – 1965-1969 – VP – Manager of Business Development – So. California.

Taxes & Insurance

  • L. E. Cooper & Associates 1959-1965 – Tax Accountant
  • Carlsberg Insurance Agency – 1975-1982 – President

*During the period 02/1990 – 04/1990, I was dually licensed with Nilcorp Securitites Co. and Promontary Capital Corp. to market and wholesale their spoonsored products.

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