Walter E. (Skip) Auch, Jr.


Managing Director, Auch Company LLC
5 Ridgeview Ave.
Greenwich, CT 06830

Work: (203)-355-1416
Cell: (212)-529-5900
skipauch@netscape.net

Expertise
FINRA Despute Resolution Arbitrator, Firm & Branch Management, Board of Directors, Audit Committee, Governance,Capital & Consumer Markets, Investment Banking, Underwriting & Syndication, Deal Allocation, Public Offerings, Venture Capital, 144, Private Placements, Investment Management, Mutual Funds,,Brokerage (retail, institutional, discount, prime) Marketing, Recruiting & Employment Issues, Broker Protocol, Compliance, Supervision, Research (security analysis),Equities, Fixed Income (Corporates, Governments, Structured Investments, Securitized Investments,Mortgages, Municipals, Preferreds, Money Markets), ETFs, Alternative Investment, Commodities & Futures, Retail and Institutional sales, sales practices, Limited Partnerships, Hedge & Fund of Funds, Securities Transfer, ACAT, Short Position, Churning, Asset Allocation, Concentration, Trading

Bio
Ohio Wesleyan University, BA, History New York University, MBA, Finance FINRA Arbitrator Training Program

U.S. Army Officer -OCS- Ft. Belvoir, Va.- Combat Engineers -Ft. Leonard Wood, MO - Exec. & Training Officer -Viet Nam, Mekong Delta - Engineer Officer

40 Years experience in the Securities and Investment Banking Industries. Functional Roles: Branch Management, Product Management, Senior Management, Search &Recruitment Firm, Investment Banking Officer, Syndication Officer, Retail and Institutional Sales, Floor Operations Manager, Trader,