Expert No. 39505 – CA(S)
Select Expert Click checkbox to include in your expert selection.
Expertise Description: R.F.C. - Expert Witness / Consultant in litigation and arbitration, nationally (17 states), involving securities, insurance, annuities and taxation. Expert has been qualified and has testified as a Securities Industry Expert Witness before the State Court in CA and serves as an NASDR arbitrator.
Areas of Expertise:
| Annuities | Investments | Securities |
| Employee Benefits | Litigation Support | Taxation |
| Employment | Lost Profits | Taxes |
| Finance | Options | Underwriting |
Representative Litigation Experience:
- "Selling away" - From broker - dealer
- Unsuitable private placement - Direct participation program sales
- Unsuitable variable annuities
- Unsuitable variable universal life insurance
- Lack of supervision - Securities and Life insurance sales
- Lack of due diligence of broker dealer
Representative Consulting Services and/or Projects:
- Mutual fund analysis (stock & bond)
- Churning of securities
- Breach of the Standard of Care (Fiduciary duty)
- Failure to supervise brokerage activities
- Failure to perform due diligence
- Failure to supervise life insurance sales
Licenses & Certifications:
| International Association of Registered Financial Consultants |
| Series 7, 63, 79, 99 |
| Series 24; Series 27 (Former) |
| Life Insurance; Real Estate Agent (Former) |
| Variable Contracts |
Education:
| Degree | Subject | Institution | |
|---|---|---|---|
| B.A. | California State College at L.A. | Speech, Communication | |
| Graduate | Amer. Inst. of Banking | Taxation and Finance |
Professional Appointment/Association Affiliations:
- FINRA Board of Arbitrators
- Westlaw Roundtable Group
- IARFC
- Society of Industry Leaders
- American Association of Individual Investors
- Life Member - American Institute of Banking
Awards & Honors:
| National Public Speaking Contest Winner |
| National Debate Champion |
| Coach National Debate Team |
Other Career Highlights:
| 1972 Fall Edition Real Estate Review |
| Money Magazine - 2006 Publication |
| PIABA Bar Journal - 2007 Publication |
