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