FINRA SEC Regulations Expert 361382 WA

Expertise Description

I have over 10 years comprehensive financial advisory experience gained as a registered representative of national wire-houses. I specialize in matters related to investment management by fiduciaries, trustees, personal representatives, and financial consultants, as well as adherence to SEC / FINRA standards of conduct for broker-dealers, registered investment advisors, and their representatives. My expertise includes an emphasis on investment analysis and decision-making processes / modern portfolio theory; asset allocation, diversification, risk control / fiduciary standards, investment and spending policy statements / trust and estates; multigenerational strategies, charitable gifting, tax planning and sheltering. My private practice focuses on recommending and implementing efficient wealth management and investment strategies for high-net-worth individuals and institutional investors. I have more than 10 years expert witness experience.

Areas of Expertise

Expert Witness

My expert witness experience includes: Investment management by Fiduciaries, Investment management by Trustees, Investment management by Personal Representatives, and SEC / FINRA Standards of Conduct.


Bachelor of ArtsCinema ProductionUniversity of Southern California

Licenses Certifications

Certified Financial Planner
Certified Divorce Financial Analyst
Certified Investment Analyst
Certified Life / Long-Term Care Insurance Advisory
Washington State

Awards & Affiliation

Partial List of Consulting Expert Witness Cases