Expert 350632 - IL


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

DegreeSubjectInstitution
B.A.Political ScienceQuincy 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



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