Professional Licenses and Registrations Earned:
- Attorney, admitted to the New York State Bar, Federal Courts, United States Tax Court.
- Registrations / Licenses earned: Series 5, 7, 8, 14, 15, 24 & 63, Chicago Board of Trade, NFA, Commodity Futures Trading Commission, and New York State Life Insurance.
- Trade Investment Analysis Group
2004 - Present
Principal - Investment analysis, expert witness services, compliance consulting and mediation services.
- Laidlaw & Co. (UK) / Sands Brothers International / Sands Brothers & Co.
2004 - Corporate Counsel, Director
2001 - 2003 Corporate Counsel, Senior Vice President
2000 - 2001 Director of Branch Operations, Senior Vice President
- Salomon Smith Barney Inc. (and predecessor companies)
Manager, Compliance, Regulatory & Litigation Analysis Group
1997 - 2000 - First Vice President & Group Manager
1993 - 1997 - First Vice President
1990 - 1993 - Vice President
1989 - 1990 - Assistant Vice President
- Feinberg & Herman; Munves Tannenhaus & Storch
1984 - 1989 Attorney at Law
Corporate and securities law, commercial litigation.
- American Money Market Securities and affiliates
1983 - 1984 Regional Manager and Principal for Institutional broker / dealer in mortgage backed securities and short-term debt instruments.
- European - American Bank
1982 - 1983 Assistant Vice President, Foreign Exchange Consulting Division, dealing in Forex trading services and Forex research services to Fortune 1000 companies. Lecturer at ongoing seminar series targeted to top financial executives.
- Prudential - Bache Securities, Inc. (and predecessor companies)
1974 - 1982 Institutional Sales - Account Executive, futures and securities, institutional sales and high net worth retail.
- Securities Experts'Roundtable; Board of Directors
- Arbitration panelist for the NASD since 1986.
- Arbitration panelist for NASD, NFA, COMEX and Coffee, Cocoa & Sugar Exchange.
- Testified as before the New York State Assembly Ways and Means Committee on suitability issues for governmental and institutional investors.
- Advised the New York State Assembly Ways and Means Committee Chairman regarding suitability issues for institutional investors.
- 1994 NASD Arbitration training.
- Advised the FBI regarding securities industry accounting procedures.
- Advised the NY State Attorney General, Bureau of Investor Protection and Securities regarding suitability and mechanics of investing by municipal investors.
- New York State Supreme Court - Adjunct judicial hearing officer for tax matters.
- Testified for United States Attorney in Texas on securities industry accounting.
- Accepted as expert witness by the NYSE on matters brought before the exchange.
- 2004 NASD Anti Money Laundering Training.
- 2004 NASD Arbitrator Training on Expungement issues.
- Consultant to C.L. King & Associates, NASD member firm.
- Retained as an expert witness by the NASD on suitability issues.
- 1993 - Securities Arbitration / Practising Law Institute - co-authored article, "The View from the Graveyard, the View from the River"
- 2006 - Securities Arbitration / Practising Law Institute - "Is Arbitration Still a Forum of Equity? Should it be?"
- 2007 - Securities Arbitration / Practising Law Institute - "The Application of Equity in Securities Arbitration, The Process is Fair, But is it Equitable? Should Equitable Rules Apply?"
- 2008 - Securities Arbitration / Practising Law Institute - co-authored article, "The Genesis of a Troubled Product: Auction Rate Securities"
Securities Industry Seminars / Continuing Legal Education:
- 2005 panelist at CLE course for Attorneys on Securities Arbitration
- 2005 panelist at American Conference Institute course on Best Practices for Broker / Dealers
- 2006 panelist at CLE course for Attorneys on Securities Arbitration
- 2006 panelist at Practising Law Institute - Securities Arbitration seminar
- 2007 panelist at CLE Course - The Nuts and Bolts of Securities Arbitrations
- 2005 Advanced Negotiation and Mediator Skills Training
- FINRA Mediation Panel Member
Pro Bono Services:
- Fordham University Law School Legal Clinic: Advisor to pro bono program, which furnishes legal assistance to public investors not otherwise able to obtain representation.
- I was the subject of a three-part interview broadcast on the BBC in London examining interest rates, and the interrelationship of the US Dollar to European currencies.
- Bachelor of Science - Finance - St. John's University, New York
- Master of Business - Accounting & Taxation (incomplete)
- Pace University Graduate School of Business and
- St. John's University Graduate School of Business
- Juris Doctor - University of the State of New York - Touro College School of Law
- Securities Training Corporation, New York
Expert Witness Experience
- Testimony given in over 100 appearances at arbitration or judicial hearings administered by the NASD/FINRA, NYSE, AAA and state & Federal courts.