Connecting Lawyers with Expert Witnesses

General Specialty Categories

Speciality Focus

Securities, Securities Exchange Commission

Details of Expertise

Fiduciary standard of care; suitability; Regulation Best Interest; failure to supervise; portfolio allocation; modern portfolio theory; registered investment advisors; well-managed account damages analysis; spousal fiduciary duty; securities-related issues in probate.

Licenses and Certifications

CIMA—Certified investment Management Analyst | AIF—Accredited Investment Fiduciary FINRA Arbitrator.

Education

Years in Practice

Number of Time Deposed/Testified in the Last Four Years

Additional Information

Experienced securities expert witness testifying in AAA, JAMS, FINRA and Superior Court venues and deposition Financial advisor/portfolio manager with over 35 years of professional experience including serving as a Senior Vice President for both Morgan Stanley and Wells Fargo Advisors. Highly experienced with high net worth and ultra-high net worth investors. Extensive supervisory experience including managing a branch complex with 55 other financial advisors managing accounts totaling in excess of $4 billion. Experience with numerous financial advisor employment issues at broker-dealers. Spotless compliance record. Accomplished public speaker.