Expert Details

Expert in Securities Industry: FINRA, AAA, JAMS and the Securities and Exchange Commission

Expert ID: 732983 Massachusetts, USA

Request Expert

Expert supervised hundreds of brokers and scores of branch managers during his tenures at Smith Barney and First Union Securities. As a member of both the Operating and Compliance committees at First Union Securities, he participated in firm-wide policy and procedure discussions on issues ranging from litigation matters to product due diligence. He previously held the Series 63, 65, 7, 8, 4 and insurance licenses.

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.

Expert may consult nationally and internationally, and is also local to the following cities: Boston, MA - Arlington, MA - Avon, MA - Belmont, MA

Request Expert

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 Responsibilities
Years: 2005 to 2007 Employer: Sungard Title: Senior Managing Director Department: Management Responsibilities: Global Director of Compliance Product and Services
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.
Years: 1997 to 2000 Employer: Wheat First - First Union Securities Title: Senior Managing Director Department: Management Responsibilities: Regional Director
Years: 1985 to 1997 Employer: Smith Barney Title: Senior Managing Director Department: Retail Responsibilities: Broker
Assistant Manager
Branch Manager
Regional Training Manager
Years: 1981 to 1985 Employer: EF Hutton Title: Account Executive Department: Retail Responsibilities: Stock Broker
Fixed Income Coordinator

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

Fields of Expertise

Request Expert

Dev Tool:

Request: expert/financial-services
Matched Rewrite Rule: expert/([^/]+)(?:/([0-9]+))?/?$
Matched Rewrite Query: experts=financial-services&page=
Loaded Template: single-experts.php