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Expertise Description

I have over 35 years experience in Securities with expertise in investments, Securities, Fraud, stocks, bonds, options, mutual funds, private placements, limited partnerships, options, annuities, FINRA, SEC, suitability, churning, insider trading, unauthorized trading, commissions, arbitration, selling away, trading, and execution. I have spent over 25 years as a securities fraud expert witness with consultations, deposition, and courtroom testimony.

Areas of Expertise


Expert Witness

I have been a securities fraud expert witness for over 35 years. I have been hired over 1,100 times and have given sworn testimony over 650 times. My clients are typically: investors, lawyers, brokers, financial advisers, and brokerage firms. My clients have received over $36 million in awards.


Professional Experiences

In the investment arena, I started investing in stocks when I was in the 6th grade and through today I remain very active in the securities markets, including online trading. The markets are constantly changing, even more so in the last few years, and I am on top of all of these changes. Because I am active in investing, I maintain my expertise in these areas separate and apart from my research and work as a securities expert. Investments and the securities markets have been a part of my entire professional and personal life and remain so to this day.
As a professional, I have been in the securities industry for over 35 years. Even time spent outside of the securities industry has been in the legal and investigative arena. My Administration of Justice degree from American University was somewhere between a criminology degree and a pre-law degree. Some of my earlier career jobs such as a special investigator for the State of New Mexico and for a large food chain were in the investigative arena. Starting as early as 1989, I have been conducting due diligence and investment related research and investigation for various financial institutions and banks. This education and experience, combined with my many years of being actively involved in the securities litigation market, makes for an appealing background in this area, something juries and arbitration panels respect.


Education

Degree Subject Institution
B.S. Administration of Justice American University in Washington D. C.

Licenses Certifications

FINRA/NASDCRCP Certified Regulatory Compliance Professional
NASD – Wharton School of Business
NASD General Securities Principal
MULTI-STATE RIA Registered Investment Advisor
SEC RIA Registered Investment Advisor


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