Expert No. 310058 – AZ / CA(N) / CA(S)
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Expertise Description: Consulting expert specialized in security arbitration with more than 40 years in the field. Experience includes: mutual funds, variable annuities, 72T, suitability and fiduciary duty, supervision, churning, asset allocation, misuse of margin, unauthorized trading, hedge funds, and analysis cases. Has been retained and testified in over 100 cases. One of only a few experts that has been retained by the NYSE Enforcement division (now merged into FINRA). Has also consulted with the NFL Players Association. Over 13 years expert witness experience. Consultations, depositions, and courtroom testimony.
Areas of Expertise:
| Annuities | Investments | Regulation D |
| Arbitration | Litigation Support | Retirement Plans |
| Bonds | Managers Supervision | Stocks |
| Financial Services | Mutual Funds | Suitability |
| Fraud | Options | |
| Hedge Funds | Pension Funds |
Representative Litigation Experience:
- Retained as an expert consultant and witness for over 150 security arbitration cases, testifying 100 times.
- Ponzi schemes.
- IRC Section 72T.
- Selling away.
- Unauthorized trading.
- Registered Investment Adviser abuses.
- Margin abuse.
- Elder abuse.
Representative Consulting Services and/or Projects:
- One of the few outside experts retained by the NYSE Enforcement Division (now FINRA)
- Consulted with the NFL Players Association regarding regulations and codes of conduct governing registered financial advisers who market themselves to the players.
Licenses & Certifications:
| Previously held NASD Series 3, 4, 7, 12, 30, 63, 65, 66, and NASD Arbitrator. |
Education:
| Degree | Subject | Institution | |
|---|---|---|---|
| BS | Temple University |
Professional Appointment/Association Affiliations:
- Substantial experience as a financial consultant and financial adviser.
