Appeared and Qualified as Experts Before:
- NASD, NYSE, AAA, and JAMS arbitration forums and others.
- Federal Court, State Courts and before NASD and NYSE regulatory or enforcement panels hundreds of times over 30 years.
- Securities Regulation & Enforcement
- Broker / Dealer Regulation (FINRA, NASD and SEC)
- Broker / Dealer Compliance; Supervisory Policies & Procedures
- Books & Records
- Communications with Customers
- Investment Advisor Regulation and Enforcement
- Investment Advisor Compliance; Supervisory Policies & Procedures
- Investment Advisor Books and Records
- Investment Advisor Fiduciary Duty
Investment Vehicles:
- Equities
- Closed end funds
- ADRs
- Investment grade and high yield debt
- Mortgaged backed securities
- Other Fixed Income Products
- Mutual Funds, debt, equity & index
- Exchange Traded Funds
- Insurance Products and Annuities
- Options, LEAPS and other derivatives
- Low Price Securities ("Penny Stocks")
- Private Placements - Reg D
- Limited Partnerships
- Hedge Funds and Private Equity Investments
- Rule 144
- Futures & Forwards
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Sales Practice issues including:
- Suitability
- Concentration, Diversification & Asset Allocation
- Churning
- Misrepresentation & Material Omissions
- Excessive Commissions or Mark-ups
- Unauthorized trading
- Time & price discretion
- Inappropriate use of margin
- Unauthorized use of margin
- Margin liquidation by clearing firm
- Breaches of Fiduciary Duty
- Securities Fraud (State and Federal)
- Failure To Supervise, Sufficiency of Supervision
- Transfer of Accounts (ACATS)
- Failure to execute
- Hedging issues
Other Issues:
- Damages/Large Complex Cases
- ERISA issues
- Retirement Account Issues
- Successor liability issues
- Control Person liability
- Broker / Dealer Employment Disputes
- Raiding Issues
- Syndicate
- Conflicts of Interest
- Breaches of Contract
- Market Manipulation
- Clearing Firm Disputes
- Fee Based Accounts/Wrap Fees
- Bank Agency and Trust Management
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