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
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.
|
|
