Expert Details
Securities Industry: FINRA, AAA, JAMS and the Securities and Exchange Commission
ID: 732983
Massachusetts, USA
Leadership responsibilities included management, supervision, litigation management, recruiting, training, sales leadership, administration and compliance.
Expert was also the founder and CEO of the first company to deliver automated exception reporting, auditing and sales practice review technology to the financial services industry through software known as BrokerAudit. company was sold in 2005.
Since founding the his current company, Expert has provided testimony in the following venues: FINRA, AAA, JAMS and the Securities and Exchange Commission. Clients have included private practice attorneys, in-house counsel, state securities regulators and the U.S. Attorney’s Office. He has been providing full-time expert witness services since 2008.
Working closely with clients to provide qualitative, constructive and action-oriented advice throughout case, he has testified in numerous cases involving issues including but not limited to capital markets, suitability, fiduciary responsibility, supervision, private placements, investment schemes, insurance products, product due diligence, alternative investments, raiding, capital markets, employment and sales practices.
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 1977 | Degree: BA | Subject: Community Organization | Institution: Antioch College |
| Year: 1981 | Degree: MA | Subject: Management | Institution: Brandeis University |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 2005 to 2007 | Employer: Sungard | Title: Senior Managing Director | Department: Management |
Responsibilities:Global Director of Compliance Product and Services |
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| Years | Employer | Title | Department |
| Years: 2000 to 2005 | Employer: Self Employed | Title: CEO and Founder | Department: Management |
Responsibilities:Was the founder and represented the domain expertise to develop and execute a SAAS based surveillance, compliance, supervision, and audit technology for the financial services industry. The company was sold in 2005. |
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| Years | Employer | Title | Department |
| Years: 1997 to 2000 | Employer: Wheat First - First Union Securities | Title: Senior Managing Director | Department: Management |
Responsibilities:Regional Director |
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| Years | Employer | Title | Department |
| Years: 1985 to 1997 | Employer: Smith Barney | Title: Senior Managing Director | Department: Retail |
Responsibilities:BrokerAssistant Manager Branch Manager Regional Training Manager |
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| Years | Employer | Title | Department |
| Years: 1981 to 1985 | Employer: EF Hutton | Title: Account Executive | Department: Retail |
Responsibilities:Stock BrokerFixed Income Coordinator |
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Career Accomplishments
| Associations / Societies |
|---|
| Member, SIFMA CL, 2008-Present Member, Securities Experts Roundtable, 2008-Present |
| Licenses / Certifications |
|---|
| NASD Series 7, 8, 63, 65 and 3 and Insurance (inactive) |
| Publications and Patents Summary |
|---|
| A wide range of publications and articles. |
Additional Experience
| Expert Witness Experience |
|---|
| The efforts of Expert support both private practice attorneys litigating against the securities industry and the efforts of financial service firms in their defense of claims. He has testified in numerous cases involving issues including but not limited to capital markets, suitability, fiduciary responsibility, supervision, private placements, investment schemes, insurance products, product due diligence, alternative investments, raiding, capital markets, employment and sales practices. He has a unique insight into the financial services community. Years of experience as a broker, branch manager, regional director, senior managing director and as a designer and developer of the first systems to automate the process of supervision, exception reporting and sales practice review have cultivated an understanding of the motivation and pressures on industry participants, he is your greatest resource in litigation support; Expert can assure you that his testimony skills will advance your firm’s ability to succeed. You should always expect rapid, identifiable and measurable success for YOUR client. Nothing less is acceptable. He's been a testifying securities industry expert witness for about 12 years. He has been qualified and testified 63 times to venues that include; the SEC, FINRA, AAA, JAMS, and Judicial. |
| Training / Seminars |
|---|
| Numerous seminars and conferences as sponsored by SIFMA, FINRA, PIABA etc... |
| Other Relevant Experience |
|---|
| Proficient in online, web-based presentation and testimony with the likes of Zoom and WebEx. |
Language Skills
| Language | Proficiency |
|---|---|
| English | Exceptional |