Expert Details

Expert in Securities and Derivatives Arbitration & Litigation; Expert Witness

Expert ID: 723041 Illinois, USA

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Expert (prefers "Expert") has been involved in ADR, which is generally "arbitration," with respect to disputes rooted in any phase of the securities investment and trading industry, since the late 1970's. See more at "arbitration."

Within the general area of securites-related disputes, Expert has been accepted as an expert in Federal and State courts, in AAA, NASD, NFA and exchange arbitration, and in Federal Reparations Proceedings. His expertise includes disputes between customer-house, brokerage firms, raiding, and registered personnel-brokerage firm.

Array

Case review, case evaluation, written Opinions with respect to disputes rooted in securities transactionsTraining newer brokers in client firmsSpeaking to meetings of other brokerage firms with respect to compliance with securities Rules and
Regulations, and the impact on litigation and arbitration

Expert may consult nationally and internationally, and is also local to the following cities: Chicago, Illinois - Rockford, Illinois - Aurora, Illinois - Naperville, Illinois - Joliet, Illinois - Elgin, Illinois - South Bend, Indiana - Gary, Indiana - Milwaukee, Wisconsin - Madison, Wisconsin

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Education

Year Degree Subject Institution
Year: 1961 Degree: None Subject: Finance / Economics Institution: Univ of Wisconsin / Milwaukee

Work History

Years Employer Title Department Responsibilities
Years: 2000 to Present Employer: Undisclosed Title: Principal Department: Responsibilities: Expert provides evaluation, damages calculation, exhibit production, and testimony in securities or derivatives disputes.
Years: 1997 to 2000 Employer: LIT Division of Speer, Leeds & Kellogg Title: Correspondent Services Department: Responsibilities: He established and maintained correspondent execution and clearing services with other securities/derivatives brokerage firms.
Years: 1994 to 1997 Employer: Internationale Nederlanden Gruppe Title: Executive Director - Correspondent Services Department: Responsibilities: Expert established and maintained correspondent execution and clearing services with other securities/derivatives brokerage firms.
Years: 1991 to 1994 Employer: London Investment Trust Title: Correspondent Services Department: Responsibilities: He established and maintained correspondent execution and clearing services with other securities/derivatives brokerage firms.
Years: 1987 to 1991 Employer: Investors Fiduciary Corporation Title: Chairman Department: Responsibilities: Expert managed and directed a subsidiary trust company.
Years: 1988 to 1991 Employer: Kemper Securities Corporation Title: Senior Vice President/Director Department: Responsibilities: He trained, managed and supervised investment and derivatives brokers, branch managers. His other duties included corporate finance, derivative research, and proprietary trading.
Years: 1973 to 1991 Employer: Blunt, Ellis & Loewi Title: Senior Vice President/Director Department: Responsibilities: Expert trained, managed and supervised investment and derivatives brokers, branch managers.
Years: 1969 to 1973 Employer: Merrill Lynch, Pierce, Fenner & Smith Title: Stock and derivatives broker Department: Responsibilities: He established and serviced a client base in retail and institutional investment and trading.

International Experience

Years Country / Region Summary
Years: 2000 to 2001 Country / Region: Singapore/London Summary: Expert on behalf of the People's Republic of China, examined various (many) documents and communications with respect to a forthcoming arbitration in London before a tribunal.

Career Accomplishments

Associations / Societies
Currently, contributes to the Expert Roundtable. Prior to his retirement from the industry, Expert was a member of the Chicago Mercantile Exchange, the Chicago Board of Trade, The Chicago Board Options Exchange, a director of National Futures Association, and an appellate panel member.
Licenses / Certifications
Securities industry registrations S-3 (futures), S-7 (General Securities), S-8 (Sales Supervision), S-8 BM (NYSE Branch Office Manager), S-24 (Securities Principal), S-52 (Municipal Bonds), S-63 (States' Registration)

Additional Experience

Expert Witness Experience
Expert has been accepted in Federal and
State courts; AAA, Exchange, NASD, NFA arbitrations, and Federal Reparations Proceedings.
Training / Seminars
Securities Complaince Seminars, Derivatives Trading training.
Marketing Experience
He has underwritten new ventures, introduced new financial instruments such as financial futures, all electronic trading facilities.
Other Relevant Experience
Merger, acquisition and divestiture of securities firms, or parts thereof.

Fields of Expertise

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