Industry Experience

  • 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 off 200 million
  • Member of the Board of Directors of Smith Barney and Executive Vice-President of the firm

Expert Witness Credentials

  • Retained approximately 1700 times, given testimony on approximately 700 occasions in over 40 states.
  • Testified in State and Federal courts in various jurisdictions, in arbitration proceedings, in mediations and in SRO disciplinary hearings.

Topics

Qualified to present expert testimony, representative but not inclusive —

  • 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
  • Hedging strategies for concentrated positions
  • 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 & TICs
  • Retirement strategies
  • Rule #144 and other control stock issues
  • Suitability
  • Supervision and Compliance
  • Trading away
  • U-4 and U-5 filings

Education

B.A. Magna Cum Laude, Dartmouth College

Past Licenses Held

NYSE — Registered Representative

NYSE — Branch Office Manager

ASE, CBT, NASD, NYSE — Registered Options Principal

NASD — General Securities Principal

National Futures Association — Associated Person