Principal, Trade Investment Analysis Group
6 Argyle Road
Plainview, NY 11803
Employee recruitment analysis, breach of non-compete, non-solicit agreements. Raiding. Protocol for Broker Recruitment and related issues. Economic impact analyses and projections. RR Revenue and Lost Revenue Analyses and Projections. Damages.
Broker Dealer sales practice and supervision issues. Suitability of recommendations, churning, private placements, limited partnerships, REITs, branch operations, selling away. Investment advisor. Market adjusted performance calculations. Damages.
Engagements by respondents, claimants and the NASD.
NASD and FINRA arbitrator since 1986.
I have over forty years experience in and around the securities industry. My experience began as a high net worth retail RR on a team of institutional brokers. I have achieved twenty-six years experience in the area of securities industry litigation. Those disputes have involved sales practice and supervisory issues as well as recruitment, raiding and other employment related issues. I have reviewed over 2500 claims filed in jurisdictions across the United States. I have appeared and testified as an expert witness nationally on behalf of broker-dealers, registered representatives, banks, financial services firms and investors almost 200 times. My engagements have encompassed issues of liability and damages. My clients have included respondents, claimants and the NASD. I have appeared at FINRA, NASD, NYSE, JAMS and AAA proceedings, plus state and Federal courts.
My experience in securities industry disputes also includes matters where I was the attorney for broker-dealer clients and 26 years as a FINRA or NASD arbitrator.
I have earned numerous (12) sales, supervisory and compliance licenses. I managed the Compliance, Litigation and Regulatory Analysis Group for a bulge bracket BD. I later headed branch operations for a boutique BD. I subsequently became its corporate counsel.
I have testified as an expert witness almost 200 times.