|
Professional Licenses and Current Registrations:
Series 7 - General Securities Representative
Series
4 - Senior Registered Options Principal
Series 24 - General Securities Principal
Series 27 - Financial
& Operational Principal
Series 63 - Uniform Securities Agent
Education and Training:
Bachelor of Science, Liberal Arts, State University
of New York at Oneonta, 1970
New York Institute of Finance, various courses, 1979-1986
American Management
Association, various courses, 1979-1986
FINRA Arbitrator Training (commenced 2008)
Chronological Employment:
Trade Investment Analysis Group, 2008 - Present
Principal - Investment analysis, expert witness services, compliance and operations consulting services.
Citigroup
Global Markets, Inc. (and predecessor companies)
General Counsel's Office, New York, New York
2000-2008 Senior
Vice President, Senior Litigation Analyst, Litigation & Regulatory Analysis Group
1993-2000 First Vice President,
Senior Litigation Analyst, Litigation & Regulatory Analysis Group
1990-1993 Vice President, Litigation Analyst, Litigation
& Regulatory Group
Independent securities compliance and operations consultant, 1988-1990
RL Kotrozo
Inc., Financial Officer, 1988
Young, Smith & Peacock, Inc., Chief Operations Officer, 1987
The Stuart
James Company, Chief Operations Officer, 1986
The New York Stock Exchange, Inc. (also see 1970-1975)
1983-1986
Regulation & Surveillance Department, Surveillance Director
1981-1983 Regulation & Surveillance Department,
Senior Finance Coordinator
1979-1981 Regulation & Surveillance Department, Finance Coordinator
Boesky
& Co., Research Assistant, 1979
Becker Securities, Vice President, Senior Registered Options Principal, 1975-1979
New York Institute of Finance, part time lecturer, 1975-1979
The New York Stock Exchange, Inc.
1974-1975
Department of Member Firms, Senior Financial Consultant
1973-1974 Department of Member Firms, Assistant to the Director
of Rule Interpretation
1972-1973 Department of Member Firms, Manager Division of Documents
1970-1972 Department
of Member Firms, Documents Clerk
Professional Publications and Presentations:
Practising Law Institute Chapter (2008) "The Genesis
of a Troubled Product: Auction Rate Securities" (co-authored) "The Wall Street Almanac" (2008)
Practising Law Institute
Chapter (2007) "Hypothetically Speaking, An Introduction To Well Managed Account Analysis"
Practising
Law Institute Faculty (2006) "What are the experts' responsibilities at mediation?"
Practising Law
Institute Faculty (2006) "What are the customer account and supervisory documents a firm is required to maintain, in
what form and for how long?"
Practising Law Institute Chapter (1993) "The View from the Graveyard,
The View from the the River" (co-authored)
Expert Witness Experience:
Gave testimony in over 100 NASD, NYSE and AAA arbitration
hearings in the following areas: Account performance, prevailing market conditions, investment products, supervision, suitability,
industry standards and practices, and regulatory requirements. Prepared customized casework for more than 1,000
arbitration matters.
|
