About John D. Maine
Immediately upon graduating from college, I began my career as a stockbroker in Smith Barney’s Philadelphia office, serving both retail and institutional clients.
After eight years I left Smith Barney and joined the Los Angeles based firm of Mitchum Jones and Templeton as the National Institutional Sales Manager, with the goal of expanding their institutional business. To facilitate that objective, I opened and staffed offices in Chicago, New York and Boston and expanded the existing locations in Los Angeles and San Francisco. Mitchum’s business model was to provide research to professional investors on western companies such as Bank of America, Weyerhaeuser and Hewlett Packard.
After a few years with Mitchum I accepted an offer to return to Smith Barney to become the Resident Manager of their flagship office in Philadelphia. Smith Barney was founded in Philadelphia and the 100-person branch located there was the firm’s largest office.
A resident manager is ultimately responsible for the overall supervision of a branch which, among other duties, included personnel, operations, recruiting, marketing and compliance.
I remained in that position for about eight years until I again left Smith Barney, joining McCormick Oil and Gas, a Houston-based independent oil and gas producer, as assistant to the Chairman. I enjoyed working with McCormick, however, Smith Barney soon approached me with a very interesting opportunity. I returned to Smith Barney to become Regional Director of the Northeast Region. That region had over 1,000 employees and generated revenues in excess of 250 million and encompassed all the offices from Ohio east and from Virginia north.
I was subsequently named to Smith Barney’s Board of Directors and promoted to Executive Vice President.
After almost 26 years in the financial services industry, I resigned from Smith Barney and moved to the West Coast. Shortly after arriving in San Francisco, I was approached by an attorney requesting my advice on a securities-related dispute. I agreed to the assignment and, began my career as an independent expert witness and consultant. Since that time, I estimate that I have been retained in excess of 1,700 times and given testimony on over 750 occasions in more than 42 states. My appearances have been in various arbitration forums including FINRA, JAMS and AAA, state and Federal Court, SEC Administrative Proceedings and SRO Disciplinary Actions. I have also participated in numerous mediations and been retained by the SEC.
While the majority of my retentions have involved financial services firms, some of my work has been on behalf individual claimants. A representative list of my areas of expertise is in my CV.
My extensive and varied work in the securities industry, coupled with my career as an expert witness and the insight that role has provided into the business models numerous industry participants, has provided me with unmatched knowledge which qualifies me to testify about accepted securities industry customs and practices and regulatory guidelines.
