Expert No. 58278 – AZ / CA(N) / CA(S) / CO / FL / GA / NY / TX / UT / WA
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Expertise Description: Experienced in securities and investments. Has more than twenty years of experience at investment firms and more than fifteen years of experience as a consultant and an expert witness. Has qualified as an arbitrator with the National Association of Securities Dealers (N.A.S.D.), the New York Stock Exchange (N.Y.S.E.), the Pacific Stock Exchange (P.S.E.), and the American Arbitration Association (A.A.A.). Prior expert witness experience. Consultations, depositions, and courtroom testimony.
Shearson Lehman Hutton/EF Hutton - Surveillance and enforcement of compliance rules of various regulatory bodies; developed compliance procedures; regular review of data concerning suitability, activity and supervision of 36 offices
Goodbury & Company - Dealt with stocks and commodities, marketing management, operations supervision, and customer relations, suitability and compliance for 20 brokers
Merrill Lynch, Pierce, Fenner & Smith - Handled 500 accounts
United States Navy
Professional Appointment/Association Affiliations:
Arbitrator with National Association of Securities Dealers
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