He's a securities industry compliance specialist and broker-dealer operations expert serving as an expert witness with over 30 years of experience, this professional focuses on regulatory compliance, financial operations, and industry practices across broker-dealer, investment advisory, and futures environments. Their expert witness experience spans more than 10 years and includes litigation consultation, deposition testimony, and courtroom testimony in matters involving securities regulation, fiduciary duties, fraud, and industry standards.

Their work includes broker-dealer regulatory compliance and back-office operations, with emphasis on supervisory systems, suitability, due diligence, and policies and procedures governing securities activities. Areas of analysis involve insider trading, Ponzi schemes, fiduciary obligations, directed brokerage and commission recapture programs, best execution, commission disputes, and evaluation of books and records, registration issues, and disclosure requirements such as Form U-4 and Form U-5. Additional experience includes assessment of brokerage operations, industry customs and practices, and financial products including equities, options, fixed income securities, private placements, mutual funds, variable annuities, hedge funds, commodity pools, and structured products. Their work in expert engagements also includes identifying applicable rules, regulations, and industry practices and preparing written reports in connection with those matters.

Currently serving as Chief Executive Officer of a compliance consulting practice, this expert provides regulatory consulting and advisory services to broker-dealers, investment advisors, and futures firms, including guidance through regulatory approval processes and ongoing compliance matters. Prior leadership roles include Chief Compliance Officer, Chief Financial Officer, Financial and Operations Principal, and Operations Manager at multiple broker-dealers, as well as service as a Senior Compliance Examiner with a national securities regulator, conducting audits, investigations, and providing testimony in disciplinary proceedings related to securities law violations. The expert is a Certified Public Accountant and holds multiple securities registrations, including FINRA Series 7, Series 24, Series 27, Series 3, Series 4, Series 53, Series 55, Series 57, Series 63, Series 65, Series 79, and Series 99, as well as an Illinois Insurance Producer license. They hold a bachelor’s degree in political science and have completed accounting studies and regulatory training in securities compliance. Professional affiliations include membership in organizations such as the Illinois CPA Society, the American Institute of Certified Public Accountants, and the National Society of Compliance Professionals, reflecting involvement in regulatory frameworks, compliance standards, and professional practices within the securities industry.