About John D. Maine

Immediately upon graduating from college, I began my career as a retail broker in Smith Barney’s Philadelphia office. At that time, the line between retail and institutional clients was not as clearly defined as it is today, Therefore, I was able to expand my responsibilities to include coverage of significant institutional accounts such as T. Rowe Price, Mellon Bank and the State of New Jersey Retirement System.

I left Smith Barney to join the Los Angeles firm of Mitchum Jones and Templeton as the national institutional sales manager charged with extending their institutional footprint beyond the West Coast base. In this role I opened offices in Chicago, New York and Boston. Our business model was to provide institutional investors with research on western companies such as Bank of America, Weyerhaeuser and Hewlett Packard.

I later returned to Smith Barney to become the resident manager of the 100–person Philadelphia Office. As people familiar with the industry know, managing a branch office is similar in many ways to running your own company. A manager is responsible, among other duties, for personnel, recruiting, compliance and marketing.

I remained in that position until again leaving Smith Barney to join McCormick Oil and Gas, a Houston-based independent oil and gas producer, as assistant to the Chairman. While I enjoyed working in the oil industry, Smith Barney again approached me with a challenging opportunity. I returned to Smith Barney and became the regional director of the Northeast region. My region had over 1,000 employees and generated revenues of about 250 million dollars. The region included 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 individual who requested my consultation on a securities-related dispute. I agreed to the assignment and in 1990 I 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 700 occasions in over 40 states. My appearances have been in various arbitration forums including FINRA, JAMS and AAA, state and federal courts, 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 retentions involve individual claimants. A representative list of my areas of expertise is included on my C.V.

The combination of a very strong hands-on securities background with unequaled exposure, gained through my extensive work as an expert, to the business models of a very broad array of industry participants, I believe provides me with unparalleled perspective with which to testify about accepted securites industry customs and practices.

See C.V.