EW #9714 CV
 
QUALIFICATIONS
More than 40 years of mid and senior management level experience in both the public and private sectors, as well as extensive regulatory involvement through service as an arbitrator and on the District Business Conduct Committee as well as National NASD Committees.

EXPERIENCE
2002-Present                      T. I. ANALYSIS SERVICES, LLC                                                AZ
President – Owner and operator of an independent securities consulting firm to provide detailed investigation and analysis of customer accounts for P&L, suitability of transactions, churning, misrepresentation, adequate supervision and the appearance, when necessary, as an expert witness. Also provides  support to firms in reviewing policies and procedures, assist with internal investigations and developing corrective measures for regulatory sanctions.

1990- 2002                         C. FINANCIAL GROUP, INC.                                                       AZ.
Vice President – Compliance Director responsible for the operations and compliance functions of a NASD broker/dealer.  C. provides broker/dealer and insurance services to the memberships of credit unions and Community Banks in Arizona, California, New Mexico, Oklahoma, Utah and Virginia. The largest of these credit unions has a membership exceeding 160,000. Functional oversight and supervision of 65 registered representatives and 32 branch offices throughout the firm. Member of the NASD District 3 Business Conduct Committee,  DBCC Chairman 2002, and member of the NASD Small Firm Advisory Board, as well as the National Advisory Committee.

1989-1990                         R. P. R.,  INC.                                                                                     AZ.
Investment Broker - Responsible for developing and servicing client accounts, involving a wide array of securities and insurance products.

1988-1989                         CONSULTANT                                                                                             AZ.
Independently contracted with various firms to provide training, oversight and field inspection services to insure compliance with securities industry rules and regulations. Engaged subsidiaries of Home Life, to inspect 60 branch offices nationwide and train approximately 450 management and sales personnel in compliance and regulatory issues. Briefly registered with H. Financial Services.

1984-1988                     ANC.  NATIONAL COMPANIES                                                       AZ.
Vice President - Responsible for the Compliance Department, Due Diligence Department, and Legal Administration of both the insurance company and the broker/dealer. The Compliance function involved interface with regulatory agencies; resolution of all customer complaints; planning, development and implementation of Company policies to assure adherence to securities laws, rules and regulations; and the training of both management and the field sales force concerning requirements and procedures. The Due Diligence function entailed the analysis and approval or rejection of all sponsors and programs before they were offered to the public. Active in the Insurance Affiliated Broker Dealer Compliance Forum. Established a compliance function from scratch to provide a supervisory oversight function for a national broker/dealer with over 1100 registered representatives. 

1982-1984                     M. L. P. F. & SMITH, INC                                                                         AZ.
Account Executive - Developed and serviced over 350 client accounts involving the retail sale of securities and insurance products. Was among the top 20% of producers for time in grade. Handled a wide variety of products including mutual funds, stocks, bonds, options and limited partnerships. Handled the office coordination and local bids for municipal bonds, and also coordinated Unit Investment Trust offerings.

1962-1982                     POLICE DEPARTMENT                                                                        AZ.
From 1962-1978, served as Patrol Officer, Public Information Officer (Chief’s Office), Detective, promoted to Sergeant (1967) and managed a field squad and tactical unit until promotion to Lieutenant in 1969.
Police Captain (1978) - Achieved the highest civil service rank by competitive examination. Assignments included a broad range of responsibilities including the management of the Computer Services Bureau with a technical, civilian staff of 43, an operating budget of $1.75 million, and a capital budget of $4.5 million; command of the Special Investigations Bureau (consisting of undercover Vice and Narcotics investigations), which required frequent interaction with the press, City Manager and Council; and management of the Personnel Bureau as well as various geographic Districts within the nation's ninth largest city.

EDUCATION
Bachelor of Science, Liberal Arts
Arizona State University, Tempe, Arizona
24 hours post-graduate study in Public Administration
Associate Arts
Phoenix College, Phoenix, Arizona

PROFESSIONAL ORGANIZATIONS
2002 Chairman, NASD District 3 Business Conduct Committee
2001-02 Member, NASD Small Firm Advisory Board
2002 Member, NASD Advisory Council
Arbitrator, NASD Dispute Resolution
Past Member SIA Legal and Compliance Association