Expert Details
Stocks, Bonds, Mutual Funds, Derivatives, Futures, SEC Violations
ID: 724561
California, USA
investment consultant with over forty-five years of experience in the securities and derivatives industry.
Expert was the number one producer for many years in the Western region of a major brokerage firm. Owner and manager of two full service brokerage firms and president of another brokerage company. Managing
director of the full service brokerage subsidiary of Wells Fargo Bank.
Expert can act as an expert witness for both plaintiff and defendant and his services have no geographical limitations.
Array
2009 Phoenix, AZ
Woods v. Johnson et al.
FINRA Arbitration – Case #08-00455
2009 San Diego County Superior Court
Expert O. West, et al. v. Kenneth Mayer, et al.
Case No. 37-2008-00086500-CU-FR-CTL
Jury trial
2010 U.S. District Court – Central District of California
Merrill Lynch Capital Services v. Apache Structures
Case No. CV09-6166 CT
Bench trial
2010 San Francisco, CA
Keith Cohn et al. v. Sanford C. Bernstein & Co. et al.
FINRA Arbitration – Case #09-02892
2010 State of California Superior Court
County of Santa Clara
Ebrahimi v. Ebrahimi
Case No. 1-09-FL-149015
Bench trial
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 1962 | Degree: M.S. | Subject: Chemical Engineering | Institution: Polytechnic Institute of Rome (Italy) |
| Year: 1964 | Degree: Coursework | Subject: Business and Management Courses | Institution: University of California (Berkeley) |
| Year: 1965 | Degree: Investment Courses | Subject: Investment and Finance | Institution: New York Institute of Finance |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 2006 to Present | Employer: Undisclosed | Title: Sole Proprietor | Department: |
Responsibilities:Expert Witness;Retained as an Expert Witness in over thirty cases, acting for the plaintiff or defendant. |
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| Years | Employer | Title | Department |
| Years: 2003 to 2006 | Employer: GBS Financial Corp. | Title: Independent Contractor | Department: |
Responsibilities:Investment Consultant to a large Institutional Account, providing advice on technical analysis of market indices and individual securities. |
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| Years | Employer | Title | Department |
| Years: 2002 to 2003 | Employer: Securities & Investment Planning Co. | Title: Independent Contractor | Department: |
Responsibilities:Investment Consultant primarily to a large Institutional Account, providing advice on technical analysis of market indices and individual securities. |
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| Years | Employer | Title | Department |
| Years: 1997 to 2001 | Employer: Field Logan & Co., LLC | Title: President | Department: |
Responsibilities:A full service broker/dealer, member of NASD, MSRB and SIPC.Responsible for recruiting and managing brokers; Supervising trading in customers' accounts; Developing a trading platform; Selecting investment products to be offered by brokers to their clients; managing the firm's finances in accordance with Regulatory Agencies' requirements. Investments included stocks, bonds, mutual funds, annuities, options, etc. |
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| Years | Employer | Title | Department |
| Years: 1997 to 1997 | Employer: Beckman Investment Securities | Title: President | Department: |
Responsibilities:Responsible for recruiting and managing brokers; supervising customers' accounts; Selecting investment products to be offered by brokers to their clients.Investments included stocks, bonds, mutual funds, annuities, options, etc. |
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| Years | Employer | Title | Department |
| Years: 1994 to 1997 | Employer: Wells Fargo Securities (WFSI), a Subsidiary of Wells Fargo & Co. | Title: Senior Vice-President & Managing Director | Department: |
Responsibilities:Member of the Senior Management Team of Wells Fargo's Savings and Investment Group and Wells Fargo Securities.Investments included stocks, bonds, mutual funds, annuities, options, etc. Responsible for the management of the full-service brokerage unit: two offices, San Francisco and Los Angeles, with a total staff of approximately 30 people. Responsible for managing Capital Investment Accounts, a very profitable Wells Fargo Bank dealer brokering CDs, treasuries and CP primarily to institutions for their cash management needs. Developed an automated full-service brokerage unit and oversaw automation project of branch investment sales offices. Introduced new financial products to help brokers in managing clients' accounts. |
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| Years | Employer | Title | Department |
| Years: 1981 to 1994 | Employer: California Securities Corp. | Title: Owner and Manager | Department: |
Responsibilities:Managed full-service brokerage firm, with four branches in the San Francisco Bay Area. Investments included stocks, bonds, mutual funds, option, futures, etc.Responsible for opening accounts; Executing transactions in compliance with Regulatory Agencies' Rules; Managing the Firm's finances as required by Federal and State Agencies. Developed unique uses of Chaos Theory and Artificial Intelligence (with particular emphasis on Neural Networks) to aid in technical analysis of market trends. |
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| Years | Employer | Title | Department |
| Years: 1966 to 1981 | Employer: Bache Halsey Stuart (now Wells Fargo Securities) | Title: Vice-President | Department: Sales |
Responsibilities:Handled both individual and institutional accounts. Investments included stocks, bonds, mutual funds, options, futures, etc. |
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Career Accomplishments
| Associations / Societies |
|---|
| (past) NASD, MSRB and SIPC |
| Licenses / Certifications |
|---|
| (past) NASD SERIES 3, 4, 7, 24, 28, 52, 53, 63, 65. CALIFORNIA LIFE AND DISABILITY. Full-Service Broker/Dealer; |
Additional Experience
| Expert Witness Experience |
|---|
| Retained as an Expert Witness in over sixty cases, acting for the plaintiff or defendant. Testified in Court or before and arbitration panel in thirteen cases. |
| Marketing Experience |
|---|
| Expert's expertise covers virtually all areas related to investments in stocks, options, fixed income, mutual funds, annuities and other insurance products, futures, etc. He has been a manager and an investment consultant with over forty years of experience in the securities and derivatives industries. |
| Other Relevant Experience |
|---|
| Developed unique uses of Chaos Theory and Artificial Intelligence (with particular emphasis on Neural Networks) to aid in technical analysis of market trends. |
Language Skills
| Language | Proficiency |
|---|---|
| Italian | Mother Tongue |
| German | General Knowledge |
| French | General Knowledge |
| Spanish | General Knowledge |
Fields of Expertise
annuities, arbitration, expert witness, hedge fund, investment, mutual fund, securities finance, bond, Financial Industry Regulatory Authority, option (finance), futures (finance), commodities, insurance, forward pricing, index pricing, finance, chaos theory, pension fund, private equity fund, derivative (finance), securities fraud, insider trading, National Association of Security Dealers, National Association of Security Dealers arbitration, futures regulation, business securities, futures hedging, commodity options, funding, futures, commodity futures, managed futures, fixed income, fixed income securities, government securities, municipal securities, portfolio, return on investment, Securities and Exchange Commission, securities arbitration, securities clearing, securities dispute, securities regulation, equity, divorce proceeding, brokering, securities options, financial modeling, corporate finance, broker ethics, divorce accounting, broker dispute, annuity insurance, securities valuation, technical analysis, mergers and acquisitions, hedging, life insurance, dispute, initial public offering, business, business valuation, business strategy, business operations, international investment, valuation, risk characterization, risk management