Expertise Description
I have over 30 years experience in the field of Securities. My extensive experience includes broker / dealer regulatory compliance and operations and investment advisory and futures fields. My expertise includes insider trading, Ponzi schemes, fiduciary duties, directed brokerage / commission recapture programs, industry customs / practices, and various securities and product types. I have more than 10 years expert witness experience with consultations, deposition, and courtroom testimony.Areas of Expertise
Expert Witness
My expert witness experience includes: Securities Issues, Insider Trading, Ponzi Scheme, Due Diligence, Suitability, Fraud, Wrap Fees, and Outside Business Activities.
Relevant Experiences
I have been in the securities industry for 39 years and I am quite familiar with industry practices and documents. I am a former securities regulator with the NASD (now Finra).
Education
| Degree | Subject | Institution | ||
|---|---|---|---|---|
| B.A. | Political Science | Quincy College | ||
Licenses Certifications
| Certified Public Accountant |
| FINRA Series 7 Registration |
| FINRA Series 24 Registration |
| FINRA Series 27 Registration |
| FINRA Series 3 Registration |
Awards & Affiliation
Primary Affiliation
National Society of Compliance Professionals (NSCP)
Partial List of Consulting Expert Witness Cases
SELECT EXPERT