Securities Expert 512836 AL

Expertise Description

My career has spanned more than 35 years in the field of Securities. I have spent most of my time focusing on forensic accounting and damage calculations, among numerous other financial areas. I have also spent over a decade providing consultations, deposition, and courtroom testimony to numerous clients as a securities expert witness in Nevada.

Areas of Expertise

Consulting Experience

My consulting experience includes working as a Securities Litigation Consultant.

Professional Experiences

My professional experience in the securities industry includes spending seventeen years as a securities firm branch manager or manager of other securities firm branch managers, thirteen years as a retail stock and commodities broker, and five years in training and administrative jobs. I have also owned and operated a securities litigation consulting firm, which provides securities litigation clients a variety of services, including forensic accounting, report writing, case evaluation, and testimony.

Licenses Certifications

I have passed the following examinations or their equivalents and has held the following licenses or their equivalents:
Series 3 – National Commodities Futures
Series 4 – Registered Options Principal
Series 5 – Interest Rate Options Examination
Series 7 – General Securities Representative (S1 & S12)
Series 8 – General Securities Sales Supervisor (S40, S5 & S15)

Awards & Affiliation

Utah Court-Annexed ADR Roster
SIFMA Compliance and Legal Division
SIA Sales and Marketing Committee
Association of Certified Fraud Examiners
Chicago Mercantile Exchange

Primary Affiliation

Association of Certified Fraud Examiners