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 Expert  724561

Expert in Stocks, Bonds, Mutual Funds, Derivatives, Futures, SEC Violations


Available for your Consulting and Expert Witness Needs

California (CA)
USA
Education Work History Career Accomplishments Consulting Services Expert Witness Market Research

Summary of Expertise: Listed with other top experts in: 
Expert's expertise covers virtually all areas related to compliance, investment in stocks, private placements, options, fixed income, mutual funds, insurance products, futures, etc. Expert has been both a manager and an investment consultant with over forty-five years of experience in the securities and derivatives industry. Please view Expert's CV at www.expertwitnesssecurities.com

Expert was the number one producer for many years in the Western region of a major brokerage firm. Owner and manager of two full service brokerage firms and president of another brokerage company. Managing director of the full service brokerage subsidiary of Wells Fargo Bank.

Expert can act as an expert witness for both plaintiff and defendant and his services have no geographical limitations.

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annuities

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arbitration

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expert witness

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hedge fund

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investment

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mutual fund

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securities finance

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bond

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Financial Industry Regulatory Authority

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option (finance)

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futures (finance)

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commodities

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insurance

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forward pricing

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index pricing

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finance

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chaos theory

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pension fund

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private equity fund

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derivative (finance)

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securities fraud

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insider trading

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National Association of Security Dealers

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National Association of Security Dealers arbitration

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futures regulation

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business securities

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futures hedging

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commodity options

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funding

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futures

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commodity futures

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managed futures

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fixed income

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fixed income securities

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government securities

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municipal securities

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portfolio

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return on investment

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Securities and Exchange Commission

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securities arbitration

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securities clearing

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securities dispute

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securities regulation


Show Secondary and Basic Areas of Expertise
Localities:
Expert may consult nationally and internationally, and is also local to the following cities: San Jose, California;  San Francisco, California;  Sacramento, California;  Oakland, California;  Stockton, California;  Fremont, California;  Modesto, California;  Salinas, California;  Santa Rosa, California;  and Hayward, California.

Often requested
with this expert:

Insurance, Annuities, Securities, Arbitration, FINRA,...
Hedge Funds, Investments, Options, Securities Valuation,...
Investment Strategy, Asset Allocation, Hedge Fund...
Foreign Exchange, Technical Analysis

Education:
Year   Degree   Subject   Institution   Honors
1962   M.S.   Chemical Engineering   Polytechnic Institute of Rome (Italy)   Graduated with highest honors
1964   Coursework   Business and Management Courses   University of California (Berkeley)  
1965   Investment Courses   Investment and Finance   New York Institute of Finance  

Work History:
Years   Employer   Department   Title   Responsibilities

2006 to

 

(Undisclosed)

 


 

Sole Proprietor

 

Expert Witness;

Retained as an Expert Witness in over thirty cases, acting for the plaintiff or defendant.

2003 to 2006

 

GBS Financial Corp.

 


 

Independent Contractor

 

Investment Consultant to a large Institutional Account, providing advice on technical analysis of market indices and individual securities.

2002 to 2003

 

Securities & Investment Planning Co.

 


 

Independent Contractor

 

Investment Consultant primarily to a large Institutional Account, providing advice on technical analysis of market indices and individual securities.

1997 to 2001

 

Field Logan & Co., LLC

 


 

President

 

A full service broker/dealer, member of NASD, MSRB and SIPC. Responsible for recruiting and managing brokers; Supervising trading in customers' accounts; Developing a trading platform; Selecting investment products to be offered by brokers to their clients; managing the firm's finances in accordance with Regulatory Agencies' requirements. Investments included stocks, bonds, mutual funds, annuities, options, etc.

1997 to 1997

 

Beckman Investment Securities

 


 

President

 

Responsible for recruiting and managing brokers; supervising customers' accounts; Selecting investment products to be offered by brokers to their clients. Investments included stocks, bonds, mutual funds, annuities, options, etc.

1994 to 1997

 

Wells Fargo Securities (WFSI)

 


 

Senior Vice-President & Managing Director

 

Member of the Senior Management Team of Wells Fargo's Savings and Investment Group and Wells Fargo Securities. Investments included stocks, bonds, mutual funds, annuities, options, etc. Responsible for the management of the full-service brokerage unit: two offices, San Francisco and Los Angeles, with a total staff of approximately 30 people. Responsible for managing Capital Investment Accounts, a very profitable Wells Fargo Bank dealer brokering CDs, treasuries and CP primarily to institutions for their cash management needs. Developed an automated full-service brokerage unit and oversaw automation project of branch investment sales offices. Introduced new financial products to help brokers in managing clients' accounts.

1981 to 1994

 

California Securities Corp.

 


 

Owner and Manager

 

Managed full-service brokerage firm, with four branches in the San Francisco Bay Area. Investments included stocks, bonds, mutual funds, option, futures, etc. Responsible for opening accounts; Executing transactions in compliance with Regulatory Agencies' Rules; Managing the Firm's finances as required by Federal and State Agencies. Developed unique uses of Chaos Theory and Artificial Intelligence (with particular emphasis on Neural Networks) to aid in technical analysis of market trends.

1966 to 1981

 

Bache Halsey Stuart (now Wells Fargo Advisors)

 

Sales

 

Vice-President

 

Handled both individual and institutional accounts. Investments included stocks, bonds, mutual funds, options, futures, etc.


Career Accomplishments:
Associations/Societies

(past) NASD, MSRB and SIPC

Licenses/Certifications

(past) NASD SERIES 3, 4, 7, 24, 28, 52, 53, 63, 65. CALIFORNIA LIFE AND DISABILITY.

Full-Service Broker/Dealer;


Consulting Services:
Selected Consulting Examples:
  • 2009 Phoenix, AZWoods v. Johnson et al.FINRA Arbitration – Case #08-00455
  • 2009 San Diego County Superior CourtExpert O. West, et al. v. Kenneth Mayer, et al.Case No. 37-2008-00086500-CU-FR-CTLJury trial
  • 2010 U.S. District Court – Central District of CaliforniaMerrill Lynch Capital Services v. Apache StructuresCase No. CV09-6166 CTBench trial
  • 2010 San Francisco, CAKeith Cohn et al. v. Sanford C. Bernstein & Co. et al.FINRA Arbitration – Case #09-02892
  • 2010 State of California Superior Court County of Santa ClaraEbrahimi v. EbrahimiCase No. 1-09-FL-149015Bench trial
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:
Retained as an Expert Witness in over sixty cases, acting for the plaintiff or defendant. Testified in Court or before and arbitration panel in thirteen cases: 1. 2003 San Francisco County, CA, Superior Court. Osasa v. Graves et al. – Case #320517 Jury trial.

2. 2004 San Francisco County, CA, Superior Court Robert Chow, client – Case #CGC-01-323394 Bench trial.

3. 2005 Santa Clara County, CA, Superior Court Choi v. Chang – Case #1-05-CV-037053 Bench trial.

4. 2006 Seattle, WA Van Zyl v. UBS NASD Arbitration – Case #05-02465

5. 2006 Riverside County, CA, Superior Court Hammermueller v. North American Co. of Life Insurance – Case #INC037361 Jury trial

6. 2006 San Francisco, CA Alloy v. MPV Securities NASD Arbitration – Case #04-00323

7. 2008 Fresno County, CA, Superior Court Graham and Warner v. Volante et al – Case No. 05CECGO355MBSS Bench trial

8. 2009 Phoenix, AZ Woods v. Johnson et al. FINRA Arbitration – Case #08-00455

9. 2009 San Diego County Superior Court Expert O. West, et al. v. Kenneth Mayer, et al. Case No. 37-2008-00086500-CU-FR-CTL Jury trial

10. 2010 U.S. District Court – Central District of California Merrill Lynch Capital Services v. Apache Structures Case No. CV09-6166 CT Bench trial

11. 2010 San Francisco, CA Keith Cohn et al. v. Sanford C. Bernstein & Co. et al. FINRA Arbitration – Case #09-02892 12. 2010 State of California Superior Court County of Santa Clara Ebrahimi v. Ebrahimi Case No. 1-09-FL-149015 Bench trial

13. 2012 San Francisco, CA Arun Anantharaman, et al. v. Opulent Fund, LP, et al. AAA Arbitration Case No. 74 512 Y 00131 10

14. 2012 Circuit Court of Oregon County of Multnomah Beal v. Kerr-Cruickshank et al. Case #1106-07211

Recent Litigation Client Requests:
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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.

Language Skills:
Foreign Language   Description
Italian   Mother Tongue
German   General Knowledge
French   General Knowledge
Spanish   General Knowledge

Market Research:
Expert's expertise covers virtually all areas related to investments in stocks, options, fixed income, mutual funds, annuities and other insurance products, futures, etc. He has been a manager and an investment consultant with over forty years of experience in the securities and derivatives industries.

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:
Other Skills and Services

Developed unique uses of Chaos Theory and Artificial Intelligence (with particular emphasis on Neural Networks) to aid in technical analysis of market trends.


 

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