Securities and wealth management professional serving as an expert witness with more than 35 years of experience in financial services, brokerage supervision, and investment advisory practices. This expert focuses on securities industry standards, sales practices, and regulatory compliance within wealth management and brokerage environments. The expert provides analysis in disputes involving securities transactions, brokerage supervision, and investment advisory conduct and has experience providing consultations, deposition testimony, and courtroom testimony in financial services litigation.

Professional expertise includes evaluating brokerage and advisory practices in matters involving insider trading, market timing, abusive trading strategies, market manipulation, margin and collateral practices, and supervisory responsibilities. Additional areas of analysis include suitability determinations, conflicts of interest, breach of contract claims, execution of client orders, and allegations involving excessive trading or churning. The expert’s work also involves discovery review and analysis of brokerage firm supervisory procedures and compliance with FINRA regulations and securities industry standards. Credentials include a Bachelor of Science in Marketing. Additional executive education includes completed executive leadership development training through a prominent business school and a professional securities industry institute. The expert previously held multiple securities industry registrations, including Series 3, 5, 7, 8, 15, 63, and 65. Professional activities include participation in securities industry organizations and leadership participation in professional roundtable groups focused on securities industry practices and dispute resolution.

Professional leadership experience includes founding and directing a consulting practice providing expert witness services and advisory consulting related to securities dispute resolution and wealth management practices. Prior roles included senior leadership and regional management positions within major financial institutions, where responsibilities included oversight of multiple wealth management offices, supervision of financial advisors, and management of large portfolios of client assets. The expert also co-founded a registered investment advisory firm that expanded from inception to multiple offices managing substantial client assets.