Securities Industry Expert 521458 IL

Expertise Description

I have over 35 years experience in financial management with a focus in complex securities litigation, including, but not limited to: insider trading, market timing, abusive trading, market manipulation, margin and collateral, failure to supervise, suitability, failure to executive orders, conflicts of interest, breach of contract, expungement, supervision, senior investors, excessive trading/churning, discovery review and recommendations, and forensic accounting reports. I have prior experience as a financial management expert witness and have provided numerous clients with deposition, courtroom testimony, and consultations.

Areas of Expertise

Professional Experiences

My professional experience encompasses a range of expertise in all facets of sales, trading, regulatory, compliance, arbitration, mediation, training & development, and strategic reporting for major securities operations. My background has centered on both the institutional and wealth management business. Additionally, I have been a contributing writer on professionalism, practice development and ethics.


Degree Subject Institution
B.S. Marketing & Finance St. Johns University

Licenses Certifications

FINRA registered

Awards & Affiliation

American Cancer Society
Gateway for Cancer Research
Chicago Police Memorial Foundation Advisory Council
Archdiocese of Chicago for Vocational Marketing
Chicago United, DePaul University Graduate School’s Advisory

Primary Affiliation

American Cancer Society