Expert Details
Securities and Derivatives Arbitration & Litigation; Expert Witness
ID: 723041
Illinois, USA
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
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 1961 | Degree: None | Subject: Finance / Economics | Institution: Univ of Wisconsin / Milwaukee |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 2000 to Present | Employer: Undisclosed | Title: Principal | Department: |
Responsibilities:Expert provides evaluation, damages calculation, exhibit production, and testimony in securities or derivatives disputes. |
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| Years | Employer | Title | Department |
| 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. |
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| Years | Employer | Title | Department |
| 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. |
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| Years | Employer | Title | Department |
| 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. |
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| Years | Employer | Title | Department |
| Years: 1987 to 1991 | Employer: Investors Fiduciary Corporation | Title: Chairman | Department: |
Responsibilities:Expert managed and directed a subsidiary trust company. |
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| Years | Employer | Title | Department |
| 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. |
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| Years | Employer | Title | Department |
| 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. |
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| Years | Employer | Title | Department |
| 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. |
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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
alternative dispute resolution, alternative dispute resolution procedure, alternative dispute resolution research, alternative dispute resolution service, alternative dispute resolution support, alternative dispute resolution training, arbitration, expert witness, securities finance, derivative (finance), insider trading, front running, National Association of Security Dealers arbitration, securities arbitration, intellectual property alternative dispute resolution, raiding, National Association of Security Dealers, trading, brokering, arbitration testimony, municipal finance, securities dispute, broker dispute, securities marketing, securities regulation, case analysis