Nasd Specialist, Expert Witness and Forensic Consultant.
Consultant and Expert Witness in matters relating to Securities Industry issues, especially in the area of Compliance.
EXPERT ID: 242
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Location: US
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Short Biography:
Consultant and Expert Witness in matters relating to Securities Industry issues, especially in the area of Compliance.
Many experts know the laws, formulas and regulations, I, however, can also provide true expertise in the realm of daily brokerage activities.
With over 30 years in the retail side of brokerage industry, I have served in the capacity of Stock Broker, Compliance Manager, Office Manager and more. I have also served the NASD as an arbitrator for many years. In any lawsuit or arbitration between a client and broker, I can add value to the case of either side. Further, due to my many years in management, I will consider employment cases.
RETAIL BROKERAGE
BROKERAGE COMPLIANCE
BSBA, Series 7, Series 65, Series 8, Series 63, NASD Arbitrator
