Mr. Stuart A Ober
Securities Investigations, Inc.
PO Box 888
2626 Route 212
Woodstock NY, 12498
US
EW #2720 has over 33 years securities industry experience. Suitability, due diligence and disclosure issues, selling away, fiduciary responsibilities, standard of care, fraud, partnerships, supervision and compliance and damage calculations.
None
Office:
845 679-2300
Fax:
845 679-2301
EW#2720
EXPERIENCE
President, a due diligence, consulting and investment research firm (founded in 1981).
Over thirty years experience as a securities professional and twenty years as an expert.
Consultant and expert in investor-broker arbitration and litigation, including suitability, compliance/supervisory failure, fiduciary responsibilities, broker conduct, asset allocation, due diligence, selling away, damage calculations, limited partnerships, investments, tax shelters and disclosure responsibilities
Member (1986–1990) Financial Products Standards Board of the Institute for Certified Financial Planners — established industry standards in such areas as due diligence, investor suitability, real estate, oil and gas, mutual funds, insurance products and equipment leasing (Chairperson of Insurance Task Force)
Member (1988–2000) Board of Advisors for Personal Financial Planning , a bimonthly publication of Warren, Gorham & Lamont
Accredited Investment Fiduciary Auditor ™ — Center for Fiduciary Studies, Graduate School of Business, Pittsburgh (2004); Among First 50 People to Successfully Complete ISO-Based Training Class (2006)
Certified Fraud Examiner — Association of Certified Fraud Examiners (2005)
Registered Investment Advisor , President and Principal (1984–1997)
Arbitrator (Chairperson Qualified 2003) with the National Association of Securities Dealers Dispute Resolution Board of Arbitrators (Member since 2002)
Arbitrator with the New York Stock Exchange (since 2003)
Arbitrator with the National Futures Association (since 2003)
Arbitrator with the American Arbitration Association (in 1980’s)
Mediator (Certified 2004) with Woodstock Justice Court (since 2004) and Common Ground (since 2003)
Lecturer on the role and duties of an expert witness in arbitration and litigation, fiduciary standards of care, fiduciary responsibilities and selling away at Albany Law School (January 2005)
Lecturer on investment topics to financial professionals
Author , Publications available upon request
Expert Witness , clients have included the United States Department of the Treasury — Internal Revenue Service and the State of New Jersey
Interviewed and quoted in national financial print media, radio, television and business publications including Forbes , Money , Financial Planning and Fortune and major newspapers including The Wall Street Journal , Barron’s and The New York Times
Participant in the Open Compliance & Ethics Group (a not-for-profit) benchmarking study of governance, risk management, compliance and ethics programs (1 Q 2005)
EMPLOYMENT HISTORY
1981–Present — President and Founder
Due Diligence, Investment Research and Consulting Firm
1979–1981 — Consultant
New York, New York
Due Diligence, Investment Research and Consulting
1978–1979 — Manager and Founder, Tax Investment Department
New York Stock Exchange Member Firm
National Association of Securities Dealers, Inc. Firm
1977–1978 — Divisional Director, Tax Investment Department
New York Stock Exchange Member Firm
National Association of Securities Dealers, Inc. Firm
1976–1977 — Tax Investment Specialist
New York Stock Exchange Member Firm
National Association of Securities Dealers, Inc. Firm
1975 — Co-Director, Marketing
Oil Drilling Company
National Association of Securities Dealers, Inc. Firm
1974 — Co-Manager, Tax Investment Department
New York Stock Exchange Member Firm
National Association of Securities Dealers, Inc. Firm
1974 — Marketing and Analysis
Tax Investment Firm
National Association of Securities Dealers, Inc. Firm
1973 — Financial Lecturer
Queen Elizabeth II
Cruise Ship
1973 — Senior Associate, Marketing
ENI Corporation
Oil and Gas Research and Marketing Firm
National Association of Securities Dealers, Inc. Firm
1972–1973 — Tax Investment Specialist
Estate Planning and Insurance Company
National Association of Securities Dealers, Inc. Firm
EDUCATION
Certified Fraud Examiner — 2005 (Professional Designation)
Association of Certified Fraud Examiners
Accredited Investment Fiduciary Auditor ™ — 2004 (Professional Designation)
Center for Fiduciary Studies
Graduate School of Business, Pittsburgh, Pennsylvania
Master of Business Administration Program — 1974 (Attended)
City University of New York, New York
Masters Program — 1972 (Attended)
Sorbonne University, Paris, France
Bachelor of Arts — 1968 (Degree)
Wesleyan University,
PUBLICATIONS
Available Upon Request
PROFESSIONAL LICENSES
Previously held professional licenses with the NASD for: securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, variable annuities, life insurance, accident insurance and health insurance
MEMBER
Securities Experts’ Roundtable
Advisory Panel for the Accredited Investment Fiduciary™ and Accredited Investment Fiduciary Audit™ Designation
Association of Certified Fraud Examiners
Tillit Group – Senior Advisory Consultant - provide independent fiduciary audits, including formal reports and reviews, and consulting services to investment fiduciarie s
Securities Industry Association – Legal and Compliance Division
Who’s Who in America
Who’s Who in Finance and Industry
Financial Planning Association
A.M. Best Company Directory of Recommended Insurance Expert Services Providers
Standard & Poor’s Register of Corporations, Directors and Executives
Dictionary of International Biography
Author’s Guild
VOLUNTEER ACTIVITIES (present and past)
Concert Series Trustee
School Science and Invention Fair Chairperson
Baseball, Basketball and Soccer League Coach
Playhouse Board Member
Arts and Culture Board Chairperson
Scout Camping Leader
Securities Industry Association – Legal and Compliance Division
Securities Industry Association – Legal and Compliance Division
Fee Schedule
Designation Fee:$500
Retainer:$1,500
Non-Testimonial:$325/hr
Testimonial:$2500/day
Travel:$325/hr
Miscellaneous: at cost. All phone calls at $1/call unless it is a cell phone call which is billed at cost.
Due Diligence Investigations Investment Evaluations New Stock Offerings Real Estate Oil Gas Equipment Leasing Research Development Analysis Structuring Investment Tax Shelter Offerings Financial Finance Marketing Sales Force Training Suitability Partnership Partnerships Fraud Fiduciary Responsibility Broker Responsibility
broker responsibility, due diligence investigations, equipment leasing, fiduciary responsibility, finance, financial, fraud, investment evaluations, marketing, new stock offerings, offerings, oil gas, partnership, partnerships, real estate, research development analysis, sales force training, structuring investment, suitability, tax shelter
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