President, Securities Investigations, Inc.
Post Office Box 888
Woodstock, NY 12498
Work: 845 679-2300
Cell: 845 242-6691
Due Diligence, Fiduciary Standard of Care, Suitability, Selling Away, Private Placements, Ponzi Schemes, Investment Adviser and Broker/Dealer Issues, Real Estate, Oil and Gas, Partnerships, Fraud, Supervision, Damages Calculations, Among Other Areas
Stuart Ober, AIFA, CFE, is the president of Securities Investigations, Inc., a New York area based due diligence, investment consulting, and expert witness firm. A former manager of a number of Wall Street tax-investment departments, Mr. Ober has served as an investment professional for over 40 years, and an expert (for plaintiffs and defendants) since 1980. Areas of expertise include due diligence, fraud, Ponzi schemes, private placements, real estate, oil and gas, selling away, fiduciary issues, suitability, and fraud. Mr. Ober served as a member of the Financial Products Standards Board of the Institute of Certified Financial Planners, and as a consultant to the U.S. Department of the Treasury – Internal Revenue Service, and the State of New Jersey. He is the External Commentator of "Prudent Practices for Investment Advisors" and "Prudent Practices for Investment Stewards," and is FINRA arbitrator (Chairperson) and a Certified Mediator. Mr. Ober was President of a Registered Investment Advisory firm and President of a Publicly-Traded Company. E-mail: firstname.lastname@example.org – (845) 679-2300.