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 Expert  723041

Expert in Securities and Derivatives Arbitration & Litigation; Expert Witness


Available for your Consulting and Expert Witness Needs

Illinois (IL)
USA
Education Work History Career Accomplishments Consulting Services Expert Witness Market Research

Summary of Expertise:

Listed with other top experts in: 

Expert has been involved in ADR, which is generally "arbitration," with respect to disputes rooted in any phase of the securities investment and trading industry, since the late 1970's. See more at "arbitration."
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alternative dispute resolution

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alternative dispute resolution procedure

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alternative dispute resolution research

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alternative dispute resolution service

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alternative dispute resolution support

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alternative dispute resolution training

Within the general area of securites-related disputes, Expert has been accepted as an expert in Federal and State courts, in AAA, NASD, NFA and exchange arbitration, and in Federal Reparations Proceedings. His expertise includes disputes between customer-house, brokerage firms, raiding, and registered personnel-brokerage firm.
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arbitration

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expert witness

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securities finance

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derivative (finance)

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insider trading

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front running

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National Association of Security Dealers arbitration

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securities arbitration


Show Secondary and Basic Areas of Expertise
Localities:
Expert may consult nationally and internationally, and is also local to the following cities: Chicago, Illinois;  Rockford, Illinois;  Aurora, Illinois;  Naperville, Illinois;  Joliet, Illinois;  Elgin, Illinois;  South Bend, Indiana;  Gary, Indiana;  Milwaukee, Wisconsin;  and Madison, Wisconsin.

Education:
Year   Degree   Subject   Institution  
1961   None   Finance / Economics   Univ of Wisconsin / Milwaukee  

Work History:
Years   Employer   Title   Responsibilities

2000 to

 

(Undisclosed)

 

Principal

 

Expert provides evaluation, damages calculation, exhibit production, and testimony in securities or derivatives disputes.

1997 to 2000

 

LIT Division of Speer, Leeds & Kellogg

 

Correspondent Services

 

He established and maintained correspondent execution and clearing services with other securities/derivatives brokerage firms.

1994 to 1997

 

Internationale Nederlanden Gruppe

 

Executive Director - Correspondent Services

 

Expert established and maintained correspondent execution and clearing services with other securities/derivatives brokerage firms.

1991 to 1994

 

London Investment Trust

 

Correspondent Services

 

He established and maintained correspondent execution and clearing services with other securities/derivatives brokerage firms.

1987 to 1991

 

Investors Fiduciary Corporation

 

Chairman

 

Expert managed and directed a subsidiary trust company.

1988 to 1991

 

Kemper Securities Corporation

 

Senior Vice President/Director

 

He trained, managed and supervised investment and derivatives brokers, branch managers. His other duties included corporate finance, derivative research, and proprietary trading.

1973 to 1991

 

Blunt, Ellis & Loewi

 

Senior Vice President/Director

 

Expert trained, managed and supervised investment and derivatives brokers, branch managers.

1969 to 1973

 

Merrill Lynch, Pierce, Fenner & Smith

 

Stock and derivatives broker

 

He established and serviced a client base in retail and institutional investment and trading.


Career Accomplishments:
Associations/Societies

Currently, contributes to the Expert Roundtable. Prior to his retirement from the industry, Expert was a member of the Chicago Mercantile Exchange, the Chicago Board of Trade, The Chicago Board Options Exchange, a director of National Futures Association, and an appellate panel member.

Licenses/Certifications

Securities industry registrations S-3 (futures), S-7 (General Securities), S-8 (Sales Supervision), S-8 BM (NYSE Branch Office Manager), S-24 (Securities Principal), S-52 (Municipal Bonds), S-63 (States' Registration)


Consulting Services:
Selected Consulting Examples:
  • Case review, case evaluation, written Opinions with respect to disputes rooted in securities transactions
  • Training newer brokers in client firms
  • Speaking to meetings of other brokerage firms with respect to compliance with securities Rules and Regulations, and the impact on litigation and arbitration
Click the green button above to contact Expert for a free initial screening call regarding your expert consulting needs.  Expert is available for consulting to corporate, legal and government clients.  Remember, your initial screening call to speak with Expert is free.

Expert Witness:
Expert Witness Experience Summary:
Expert has been accepted in Federal and State courts; AAA, Exchange, NASD, NFA arbitrations, and Federal Reparations Proceedings.
Recent Litigation Client Requests:
  • Nevada churning expert for consulting on Churning Litigation expert witness.
  • Trademark survey expert for consulting on finance and ability of company to continue operating.
Click the green button above to contact Expert for a free initial screening call regarding expert testimony, litigation consulting and support, forensic services, or any related expert witness services.  A few litigation needs include product liability, personal injury, economic loss, intellectual property (patent, trademark, trade secret, copyright), and insurance matters.  Remember, your initial screening call to speak with Expert is free.

International Experience:
Years   Country / Region   Summary
2000 to 2001   Singapore/London   Expert on behalf of the People's Republic of China, examined various (many) documents and communications with respect to a forthcoming arbitration in London before a tribunal.

Market Research:
He has underwritten new ventures, introduced new financial instruments such as financial futures, all electronic trading facilities.

Click the green button above to contact Expert for a free initial screening call regarding your marketing research, industry research, and company research needs.  For research needs involving multiple experts or secondary research, a Research Director can be assigned to coordinate the work into a custom report for you as a potentially quicker and more cost effective alternative to doing this work yourself or hiring a boutique consultancy.  Remember, your initial screening call to speak with Expert is free.

Additional Skills and Services:
Training/Seminars

Securities Complaince Seminars, Derivatives Trading training.

Other Skills and Services

Merger, acquisition and divestiture of securities firms, or parts thereof.


 

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