Securities Expert Witness NH 500800


Expertise Description

I am an expert witness with over 30 years experience in Securities & Investments. I have a particular focus in the areas of Breach of Fiduciary Duty; Failure to Supervise; Suitability; Churning; Inappropriate Asset Allocation; Misrepresentation and Omissions; Registration Violations; Mutual Funds; Annuities; Life, Disability, and Long-term Care Insurance; and Employment Issues. I have prior experience offering consultations and deposition as a securities and investments expert witness.

Areas of Expertise


Education

Degree Subject Institution
B.S. Southern Connecticut State University

Licenses Certifications

FINRA (NASD) Series 6 – Investment Company Products/Variable Contracts Ltd Representative
Life, Accident and Health Insurance Producer’s License
CFP– Certified Financial Planner
ChFC– Chartered Financial Consultant
CLU– Chartered Life Underwriter

Awards & Affiliation

Greater New Haven National Association of Insurance and Financial Advisors
National Association of Insurance and Financial Advisors
Securities Experts Roundtable
National Association of Insurance and Financial Advisors LUTC courses
University of New Hampshire, Manchester’s Business Advisory Board

Primary Affiliation

Greater New Haven National Association of Insurance and Financial Advisors



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