Expert Details
Banking, Insurance, Investment Management, Securities Brokerage, Institutional Funding, Private Equity, and Management Consulting
ID: 737172
California, USA
Expert's smallest merger transaction: $8 million
Expert's largest merger transaction: $8 billion
Expert is the Founder and CEO of a $20 billion institutional liquidity management firm and a $360 million bank broker-dealer firm.
He has led over $100B in financial transactions.
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 2022 | Degree: MLS | Subject: Law | Institution: James E. Rogers College of Law, University of Arizona |
| Year: 1971 | Degree: BA | Subject: Philosophy | Institution: University of California, Irvine |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 1990 to Present | Employer: Undisclosed | Title: CEO | Department: Securities Litigation |
Responsibilities:Expert serves as Business Counsel to CEO's of Fortunate 500 corporations and owners of private companies ranging $5 million to $50 million in annual revenues. He advises these leaders on growth, risk, and exit strategies.Expert is principal forensic consultant, wherein he conducts research and provides securities litigation support. His areas of expertise and advisory include regulatory compliance -- including sales practices, supervision, deal and product due diligence, advertising and marketing materials, fraud, for retail and institutional broker-dealers, private securities firms, and registered investment advisers. He maintains specialties in private placements (Reg D) and M&A transactions. |
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| Years | Employer | Title | Department |
| Years: 1980 to 1990 | Employer: American Savings Bank | Title: Senior EVP | Department: |
Responsibilities:Expert was Senior EVP, American Savings Bank, where he was responsible for $34 billion thrift and institutional markets.He was CEO and co-founder of FCA Asset Management -- an affiliated $20 billion international institutional finance firm. He was CEO and founder of American Group Financial Corporation -- an affiliated $360 million bank broker-dealer. |
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| Years | Employer | Title | Department |
| Years: 1978 to 1980 | Employer: Guarantee Savings Bank | Title: SVP | Department: |
Responsibilities:Company represented $1 billion thrift, retail banking. |
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| Years | Employer | Title | Department |
| Years: 1975 to 1978 | Employer: Smith Barney Harris Upham | Title: Account Executive | Department: |
Responsibilities:Expert was stockbroker, commodity and options trader. |
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International Experience
| Years | Country / Region | Summary |
|---|---|---|
| Years: 1982 to 1985 | Country / Region: UK | Summary: Expert operated 28 U.S. offices and one London office for this U.S.-based institutional funding and asset management firm. |
| Years: 1992 to 1993 | Country / Region: Canada | Summary: Expert served as management consultant and consultant recruiter. |
| Years: 1992 to 1993 | Country / Region: Mexico | Summary: Expert was consultant recruiter for a U.S. productivity management company. |
| Years: 1982 to 1983 | Country / Region: China | Summary: Expert operated the Hong Kong office (as part of the U.S. system) of this U.S.-based asset management firm. |
Career Accomplishments
| Licenses / Certifications |
|---|
| CFE-Retired, Association of Certified Fraud Examiners Investment Management Analyst Certificate, U Pennsylvania Legal Investigation Certificate, U Arizona Alternative Dispute Resolution Certificate, Purdue University AML Certificate, New York Institute of Finance Arbitration Chairperson Training Certificate, NASD Institute Investment Adviser Compliance Certificate, NRS/Investment Advisor Association Former FINRA 6, 7, 24, 26, 39, 63, 65, 66, 79 registrations plus commodities and insurance |
Language Skills
| Language | Proficiency |
|---|---|
| English | Native |
| Spanish | Conversational |