Howard B. Scherer

President, Howard Scherer LLC
431 Island Circle
Sarasota, FL 34242

Work: 610-688-4443
Cell: 610-659-9787

sales practice, supervision, private placements, outside business activities, selling away, due diligence

I am a former General Counsel to a major regional broker-dealer.  I first served as the firm’s Director of Compliance before taking over the General Counsel role.  I also chaired the firm’s Risk Committee.

Subsequent to my retirement from the firm, I have provided services as an expert witness both for claimants and respondents  in customer/firm disputes involving, among other things, sales practice issues, product issues, and supervisory issues.  I have also been involved as an expert in disputes between firms and their former employees. Additionally, I have provided consultative services to brokerage firms with respect to regulatory proceedings and have served as a mediator in both customer and employee disputes.