Securities Expert Witness Florida 536057

Expertise Description

I am a securities industry expert witness with more than fifty years in the field. I have been directly involved with certificates reported lost or stolen, in the certificate replacement process, in the processing of securities transfers, stock splits, stock dividends, exchange and tender offers, and in the process of placing and removing legends on restricted securities. I have also worked in in the custody and sale of securities – in connection with dividend reinvestment and stock purchase plans, corporate “reorg” activities, and as agent for officers of client companies who used the bank’s “simultaneous exercise/sell program” or similar programs offered by brokerage firms of the owners’ choosing. I have spent over 25 years offering consultations, courtroom testimony, and deposition as a corporate governance and securities expert witness.

Areas of Expertise


Degree Subject Institution
M.S. Business Policy Columbia University Graduate School of Business
B.A. Economics and English New York University

Awards & Affiliation

American Arbitration Association
American Society of Corporate Secretaries (now the Society for Corporate Governance)
Corporate Transfer Agents Association; now the Shareholder Services Association (SSA)
National Investor Relations Institute (NIRI)
Securities Transfer Association

Primary Affiliation

American Arbitration Association