Retained over 1700 times, given testimony on approximately 750 occasions in over 42 states.
Testified in state and Federal court in various jurisdictions, in arbitration proceedings, in mediations and in SRO disciplinary hearings.
Topics
Qualified to present expert testimony, representative list but not all inclusive -
- Alternative Investments
- Annuities-Fixed and Variable
- Back Office Procedures
- Broker Forgivable Notes
- Churning and Excessive Trading
- Commissions and Mark-ups
- Damages
- Due Diligence
- Elder Abuse
- ETFs & ETNs
- Employment Issues
- Hedge Funds
- High Yield Bonds and Complex Debt Instruments
- Inter-firm Hiring Disputes and Raiding
- Limited Partnerships
- Managed Money
- Master Limited Partnerships
- Municipal Bonds
- Mutual Funds
- Options Trading
- Outside Business Activities
- Private Equity and 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