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 Expert  724794

Expert in Insurance, Annuities, Securities, Arbitration, FINRA, TIC's, Stocks,Bonds, M.F.'s, Compliance


Available for your Consulting and Expert Witness Needs

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

Summary of Expertise: Listed with other top experts in: 
Consultant in litigation and arbitration, nationally (22 states), involving securities, insurance and annuities. 235 arbitrations (600+ retentions), since 1990, before the NASD, AAA, NYSE, PSE and 54 mediations. Expert, RFC, is an NASD Arbitrator and has qualified & testified as a Securities Expert before the CA Superior and State Courts. CASE TRACK RECORD - 207 WINS/28 LOSSES.

Expert witness/Consultant in arbitration/litigation involving securities, insurance and annuities, nationwide. Testifying i300 arbitrations (600+ retentions) before NASD/AAA/NYSE/PSE with 64 mediations in AK, CA, OR, AZ, HI, TX, IL, KS, KY, LA, MA, MI, MO, NM, NV, OH, NY, GA, TN, WA , WV & FL. (No charge for non-stop air flight time). Expert, RFC, has qualified and testified as a Securities Industry Expert before the CA Superior and State Courts plus as an Insurance Industry Expert before the State Court of NV and serves as an NASD arbitrator. Services are provided for both claimants (65%) and respondents(35%).

Common/preferred stocks, bonds, IPO's, mutual funds, variable/index annuities, life insurance/VUL, L.P.'s, hedge funds, REITS, TIC's, options, REMICS, TINTS, mortgage backed securities & Rule 144 private stock offerings. P&L's and damage calculations provided. Testifying as to suitability, fiduciary duty, due diligence, underwriting & supervision, overreaching, churning, selling away, over-concentration/asset allocation, modern portfolio theory analysis, standard deviation, sharpe ratio, stock manipulation, best execution, margin, options, mark-ups, mark-downs, on-line trading, employee termination disputes, RIA activities, control person liability, “financial suicide”, reverse churning, standard-of-care, industry custom and practice plus compliance.

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accounting

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annuities

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arbitration

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bond

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commodities

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cost accounting

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dispute

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finance

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Financial Industry Regulatory Authority

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futures (finance)

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hedge fund

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insurance

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insurance claim

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investment

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life insurance

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mutual fund

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option (finance)

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pension fund

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private equity fund

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risk characterization

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risk management

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securities finance

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valuation

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churning (stock trade)

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financial malpractice

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no-fault insurance

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hedging

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insider trading

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front running

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accounting malpractice

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actuarial valuation

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annuity insurance

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commodity regulation

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securities arbitration

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variable annuity

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Commodities Futures Trading Commission reparation

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commodity futures

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commodity options

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financial competence

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funding

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futures

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futures hedging

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futures regulation

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group life plan

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life insurance arbitration

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life insurance claim


Show Secondary and Basic Areas of Expertise
Localities:
Expert may consult nationally and internationally, and is also local to the following cities: Los Angeles, California;  San Diego, California;  Long Beach, California;  Santa Ana, California;  Anaheim, California;  Riverside, California;  Bakersfield, California;  Glendale, California;  Huntington Beach, California;  and San Bernardino, California.

Often requested
with this expert:

Stocks, Bonds, Mutual Funds, Derivatives, Futures, SEC...
Securities and Derivatives Arbitration & Litigation; Expert...
Hedge Funds, Mutual Funds, Securities Industry, Stock...
Securities; Finance; Derivatives; Hedge Funds; Foreign...

Education:
Year   Degree   Subject   Institution  
1958   BA   Speech & Communication   California State College at Los Angeles  
1961   Graduate   Finance & Taxation   American Institute of Banking School- Los Angeles District Chapter  

Work History:
Years   Employer   Department   Title   Responsibilities

2010 to

 

(Undisclosed)

 

Due Diligence

 

Compliance Consultant

 

Provides ScoreCard Due Diligence analysis on all Direct Participation Programs including L.P.'s, LLC's, DST's, REITS and TICS.

1991 to

 

(Undisclosed)

 


 

Owner & Founder

 

Owner & founder of a financial planning firm providing educational. retirement. financial. planning seminars for corps., nationally. From 1991 to the present, the firm has added an emphasis upon expert witness activities, with 9 arbitrator assignments since 1999, with one pending and 3 awards.

2000 to 2010

 

Empire Securities, Inc.

 

Securities, Annuities & Insurance

 

Branch Supervisor; Director of Advertising Compliance

 

Registered Principal for the Home Office. Provided ScoreCard Due Diligence analysis for DPP Programs since 2009.. Approved the firms Advertising Compliance.

1987 to 1990

 

Boardwalk Capital Corporation

 


 

Acting Branch Manager

 

National Sales Director - Full service financial planning broker/dealer. Chairman of due diligence committee, licensing and marketing compliance officer for 200 registered representatives. President - Registered Investment Advisor & Director of Recruiting

1975 to 1982

 

Carlsberg Insurance Agency

 


 

President

 


1969 to 1982

 

Carlsberg Securities Corporation

 

Marketing - Securities - Insurance - R/E syndication

 

VP/Branch Manager

 

Provided the firms Due Diligence for all Syndication products including, raw land, multi-family, office, industrial and mobile home properties. Director of Marketing for securities and wholsaling of syndication products.

1965 to 1969

 

Bank of America

 

Business Development

 

VP - Manager

 

So. California head of Business Development. Conducted sales training probrams for all bank personnel.

1959 to 1965

 

L. E. Cooper & Associates

 


 

Tax Accountant

 



Career Accomplishments:
Associations/Societies

Practising Law Institute - Panelist, Marketing Compliance - 1972 - R/E Syndication; Money Magazine - January, 2006 Real Estate Review - Published article - Fall - 1972; The Register (IARFC) Summer 2002; The Advisors Network, Winter 2002; KFWB Radio, November, 2003 International Assn. of Registered Financial Consultants (IARFC), AAII, Life Member - American Institute of Banking - Pasadena District Chapter (AIB), and Adjunct Faculty Member - Westlaw Round Table Group. 2004 published articles - Society of Industry Leaders

Licenses/Certifications

MEMBER, NASD REGULATION, INC. BOARD OF ARBITRATORS - Panel Chairman - NASD -April '00. Expert's Firm.- Series 7, 24 , 27*, 63, 65, 79 life ins.& var. contracts, real estate* *previously held

Professional Appointments

MEMBER, NASD REGULATION, INC. BOARD OF ARBITRATORS - Panel Chairman; Adjunct Faculty Member -Westlaw Round Table Group

Awards/Recognition

National Public Speaking and Debate Champion (1963 - 1965) American Institute of Banking.


Publications:
Publications and Patents Summary

Published articles written for Real Estate Review and several other industry-intensive publications

Selected Publications and Publishers  
 - Real Estate Riview  

Consulting Services:
Selected Consulting Examples:
  • Testifying in 300 arbitrations (600+ retentions) before FINRA/NASD/AAA/NYSE/PSE/JAMS with 64 mediations
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 witness/Consultant in arbitration/litigation involving securities, insurance and annuities, nationwide. Testifying in 300 arbitrations (600+ retentions) before NASD/AAA/NYSE/PSE with 64 mediations in AK, CA, OR, AZ, HI, TX, IL, KS, KY, LA, MA, MI, MO, NM, NV, OH, NY, GA, TN, WA , WV & FL. (No charge for non-stop air flight time). Expert, RFC, has qualified and testified as a Securities Industry Expert before the CA Superior and State Courts plus as an Insurance Industry Expert before the State Court of NV and serves as an NASD arbitrator. Services are provided for both claimants (65%) and respondents(35%).

Recent Litigation Client Requests:
  • Nevada churning expert for consulting on Churning Litigation expert witness.
  • SEC Hedge Fund Fraud expert
  • ERISA securities & investment expert for litigation.
  • FINRA/NASDAQ regulations expert witness for consulting on FINRA/NASDAQ regulations.
  • Investment FINRA expert for consulting on churning, breach of fiduciary duty.
  • Expert in securities regulations for consulting on securities fraud.
  • Trademark survey expert for consulting on finance and ability of company to continue operating.
  • Expert in damage calculations for consulting on economic damages calculation.
  • Expert in securities analyst regulation and compliance.
  • Expert witness in SEC independence rules for consulting on SEC auditor independence rules.
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.

Market Research:
Common/preferred stocks, bonds, IPO's, mutual funds, variable/index annuities, life insurance/VUL, L.P.'s, hedge funds, REITS, TIC's, options, REMICS, TINTS, mortgage backed securities & Rule 144 private stock offerings. P&L's and damage calculations provided. Testifying as to suitability, fiduciary duty, due diligence, underwriting & supervision, overreaching, churning, selling away, over-concentration/asset allocation, modern portfolio theory analysis, standard deviation, sharpe ratio, stock manipulation, best execution, margin, options, mark-ups, mark-downs, on-line trading, employee termination disputes, RIA activities, control person liability, “financial suicide”, reverse churning, standard-of-care, industry custom and practice plus compliance.



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

Panelist & Speaker-Annual Seminar for Securities Brokers 2000-2003, sponsored by Registered Representative Magazine and On Wall Street magazines; Speaker-Panelist & Article, PIABA Conventions, 10 '03 & 2 '04

Other Skills and Services

Public Speaking on all topics related to securities, insurance and annuities along with due diligence and complaince.


 

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