Experience and Credentials

Retail Stockbroker

Institutional Salesperson

National Institutional Sales Manager responsible for recruiting and managing a nationwide sales force

Resident Sales Manager of a 100-person branch office

Regional Director for a 1,000-person region with revenues in excess of 250 million

Member of the Board of Directors of Smith Barney and Executive Vice-President of the firm 

● Retained over 1700 times, given testimony on approximately 750 occasions in over 42 states.

● Testified in state and federal courts in various jurisdictions, in arbitration proceedings, in mediations, and in SRO disciplinary hearings.

● Alternative investments

● Annuities

● Auction rate securities

● Back office procedures

● Broker forgivable notes

● Churning and excessive trading

● Commissions and mark-ups

● Damages

● Due diligence

● Employment issues

● Hedge Funds

● High-yield bonds and other complex debt instruments

● Inter-firm hiring disputes and raiding

● Limited partnerships

● Managed money

● Municipal bonds

● Mutual funds

● Options trading

● Private equity / Private placements

● Registered investment advisor issues

● Regulatory disciplinary matters

● REITs and TICs

● Retirement strategies

● Rule #144 and other control stock issues

● Suitability

● Supervision and compliance

● Trading away

● U-4 and U-5 filings

B.A. Magna Cum Laude, Dartmouth College

● NYSE — Registered Representative

● NYSE — Branch Office Manager

● ASE, CBT, NASD, NYSE — Registered Options Principal

● NASD — General Securities Principal

● National Futures Association — Associated Person