Their analysis addresses suitability and fiduciary duty, supervision of registered representatives, churning, unauthorized trading, misuse of margin, and asset allocation, as well as application of modern portfolio theory and damage calculations. Their experience includes financial instruments and products such as mutual funds, variable annuities, hedge funds, options, private placements, Regulation D offerings, pension funds, and retirement plans. These areas are applied in disputes involving fraud, misrepresentation, excessive commissions, conflicts of interest, auction rate securities, and Ponzi schemes. Their opinions are informed by longstanding experience managing investment portfolios and advising on investment strategies involving blue chip securities, municipal bonds, and treasury instruments.

This financial services expert witness has over 40 years of experience in securities arbitration, investment analysis, and financial advisory practices, including more than 10 years providing expert witness services through consultation, deposition, and courtroom testimony. Their work focuses on evaluating conduct within the securities industry in arbitration and litigation settings, including matters involving investor claims, regulatory compliance, and industry standards governing financial professionals.

Their expert witness experience includes retention in over 150 securities arbitration matters and testimony in more than 100 proceedings, involving both investor-side and industry-side matters. This includes work associated with FINRA, formerly the NYSE Enforcement Division, as well as advisory involvement with the NFL Players Association regarding regulatory standards and conduct of financial advisors. Prior experience includes oversight of client investment portfolios and supervision-related responsibilities, along with participation in compliance-focused environments relevant to arbitration disputes. The expert holds a Bachelor of Science and has obtained multiple securities and advisory-related registrations.