Expert 523204 - CT


Expertise Description

With more than 60 years of experience in the Securities Industry, I have an expertise in regulatory, sales practice and capital compliance, operations, clearing firm issues including liability, procedures, comparison and settlement and internal controls. I have spent over 35 years providing deposition, consultations, and courtroom testimony as a securities industry expert witness.

Areas of Expertise


Expert Witness

I have provided consulting and expert witness services to attorneys in securities related litigation.


Consulting Experience

I have acted as a Management Consultant to broker-dealers, specializing in clearing firm issues including liability, operations, compliance, sales practice, capital and margins, and internal controls.


Education

Degree Subject Institution
B.A. University of North Carolina – Chapel Hill North Carolina

Licenses Certifications

General Securities Representative
Uniform State Securities Agent
General Securities Principal
Financial & Operations Principal
Registered Options Principal


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