Insurance Broker Expert Witness TX 535778

Expertise Description

I have 25 years of experience as a practicing attorney focusing on broker-dealers. My areas of expertise include: anti-money laundering; compliance program development and implementation; corporate governance; FINRA rules; fund formation; hedge funds; insurance; investment advising; the Investment Company Act of 1940; legal and regulatory compliance; marketing material revisions; mutual funds; private funds; public and private securities offerings; regulatory exams and inquiries; regulatory filings; the Security Act of 1933; the Securities Exchange Act of 1934; and third-party vendor due diligence. I have provided consultations, deposition, and courtroom testimony for more than 15 years as an insurance broker expert witness.

Areas of Expertise


Degree Subject Institution
J.D. Law University of Louisville
B.S. Sociology Indiana University

Licenses Certifications

CAMS (Certified Anti-Money Laundering Specialist)
FINRA/NASD Series 4, 7, 24, 53, 63, 65, 66, 79, and 99
Arbitrator, Financial Industry Regulatory Authority (FINRA)
Bar Admissions: Indiana, Texas