EW #432 in New York has an extensive background with Merrill Lynch; compliance experience, arbitration experience with knowledge of securities, annuities, arbitration, and much more.
My group of expert witnesses, mostly retired Merrill Lynch attorneys and line managers, in addition to myself, offer case preparation and expert testimony in almost all areas of the securities industry. In addition, many of our experts are arbitrators themselves.
We also possess annuity and life insurance expertise which is unique to testimony candidates. Analytics can be provided by Secure Financial Services. We will work with either claimant/respondent in case preparation and testimony.
ARIBITRATOR DISCLOSURE REPORT
Arb ID - A17245; Arbitrator Name - .; Industry/Public - Industry/Arbitrator
Skills in Controversy
Account Related - Failure to Supervise
Account Related - Margin Calls
Account Related - Negligence
Employment - Commissions
Employment - Compensation
Employment - Wrongful Termination
Employment - Libel or Slander on Form U-5
Executions - Execution Price
Executions - Failure to Execute
Executions - Incorrect Quantity
Executions - Limit v. Market Order
Executions - Others
Fraudulent Activity - Omission of Facts
Fraudulent Activity -Brch of Fiduciary Dt
Fraudulent Activity - Churning
Fraudulent Activity - Misrepresentation
Fraudulent Activity - Suitability
Fraudulent Activity - Unauthorized Trading
Other - Defamation
Other - Indemnification
Other - Raiding Disputes
Trading Disputes - Buy In
Trading Disputes - DK's
Trading Disputes - Mark-ups
Trading Disputes - Sell Outs
Skills in Securities
Annuities
Common Stock
Corporate Bonds
Government Securities
Limited Partnerships
Municipal Bonds
Mutual Funds
Options
Preferred Stock
Real Estate Investment Trust
Warrants/Rights
Arbitrator Background Information
Retired, Manager Merrill Lynch New York City District Resource Center which is comprised of specialists serving the brokers and clients in the areas of Trust, Managed Money, Insurance, Annuities, Financial Planning, Business Loan, 401-K's, Mutual Funds, and mortgages.
Previously Merrill Lynch New York City District Annuity Specialist. Previous Merrill Lynch employment was 15 years as a full service broker, three years as a office manager which required knowledge of SEC, NASD, and NYSE rules and regulations and involved complaints and arbitration. In addition to self-employment as a business owner, had a position with Liberty Mutual and handled claims settlements, tort law and civil litigation. Am presently an Arbitrator with both NYSE and NASD.
Fee Schedule
Retainer: $11,500.00
Designation: $5,750.00
Non-Testimonial: $295.00/hr (ranges from $250.00-$350.00 dependent upon specifics)
Testimonial: $2,875.00/ day; paid in advance
Travel Policy: Airfair is mutually agreed upon; paid in advance
Misc: Hotel and Airport/Rail, taxis etc..
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