Expert No. 325938 – Business Expert – CA(N) / CA(S)
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Expertise Description: Former SEC Enforcement attorney that has served as an expert witness in various matters involving securities regulation and broker-dealer compliance and supervision. Has testified on matters involving private placements including those involving real estate-based investments such as TICs. Expertise includes: major investments frauds, systemic issues in compliance and supervision, and the underlying consideration and policy concerns applicable in investment disputes. Experienced in: California securities laws and/or Finra rules; ponzi schemes; securities manipulation; stockbrokers' duties and fraud; customer-broker claims; Securities and Exchange Commission (SEC); selling away; issuer liabilities; real estate based investments; and investment fraud. More than 15 years expert witness experience. Consultations, depositions, and courtroom testimony.
Areas of Expertise:
Representative Litigation Experience:
- Ponzi schemes.
- Selling away schemes.
- State and federal registration and anti-fraud provisions.
- Tenant-in-Common/similar private placements.
- Broker-dealer's nature and scope of duties to customer whose account was managed by independent investment adviser.
- Suitability and disclosure issues in connection with annuity/fixed income transactions.
- Analysis of key securities regulatory provisions; whether those provisions appear to be implicated in connection with internal investigation.
Representative Consulting Services and/or Projects:
- Research.
- Evaluation and selection of designated expert on California corporate law manners.
- Analysis of documents necessary to be obtained from applicable regulator bodies.
- Strategy regarding discovery and trial preparation
- Pre-deposition client interviews.
- Strategy regarding obtaining favorable mediated settlement.
Licenses & Certifications:
| California State Bar |
| Admitted to practice before U.S. District Courts for the Northern and Southern Districts of CA |
| Admitted to practice before U.S. Court of Appeals, Ninth Circuit |
| Previously held Series 24 Principal |
Education:
| Degree | Subject | Institution | |
|---|---|---|---|
| JD | Law | University of Southern California |
Professional Appointment/Association Affiliations:
- Orange County Bar Association
- North County Bar Association
- North County Lawyer
- Arbitrator/Mediator, Financial Industry Regulatory Agency
- Mediator, Superior Court, San Diego County
- Financial Abuse Specialist Team, Council on Aging, Orange County
Other Career Highlights:
| Author and presenter of numerous securities-related articles and presentations. |
