Expertise DescriptionI have more than 40 years experience with security arbitration. My experience includes: mutual funds, variable annuities, 72T, suitability and fiduciary duty, supervision, churning, asset allocation, misuse of margin, unauthorized trading, hedge funds, pension funds, and analysis cases. I have over 10 years expert witness experience with consultations, deposition, and courtroom testimony.
Areas of Expertise
My expert witness experience includes 150 security arbitration cases, testifying 100 times; Ponzi schemes; IRC Section 72T; Selling away; Unauthorized trading; Registered Investment Adviser abuses; Margin abuse; Elder abuse.
My consulting services include being one of the few outside experts retained by the NYSE Enforcement Division (now FINRA); consulted with the NFL Players Association regarding regulations and codes of conduct governing registered financial advisers who market themselves to the players.
I have substantial experience as a financial consultant and financial adviser.
I have done many cases where suitability and churning were the underlying factors involved, probably more than most experts.
|Previously held NASD Series 3|
|and NASD Arbitrator.|
Awards & Affiliation
Partial List of Consulting Expert Witness Cases