AB English, Haverford College, 1963.
Commissioned officer, U.S. Navy: 7 years active duty (5 at sea, 2 as admiral's aide), 20 years reserve duty including two unit commands; graduate Naval Officer Candidate School, Naval Destroyer School, Naval War College Reserve Course; retired Captain, USNR-R (ret.).
MBA Management Information & Control, University of Pennsylvania, Wharton School of Finance & Commerce, 1971.
49 years experience in primary capital markets / investment banking; 23 years in senior positions of deal leadership (solicitation, structuring, marketing, pricing, distributing, after-market trading), profit & loss responsibility - over 1,250 underwritten public offerings (150+ IPOs) at three global investment banks (Warburg Paribas Becker, PaineWebber, Lehman Brothers). Member new issue marketing committee at all three firms & new issue commitment committee at WPB & PW.
Founding editor (now co-editor) of the “Capital Markets Handbook”, created for securities industry under trade group (SIA, now SIFMA) sponsorship, now in its Sixth Edition, 2021 Supplement. Also expert in due diligence, IPO process, 144A + corporate governance. Deposed, testified, authored expert opinions & consulted in 76 cases. FINRA dispute resolution arbitrator since 1996. Conduct corporate financial advisory and wealth management advisory businesses.
Faculty member, Eugene F. Brigham Department of Finance, Insurance & Real Estate at University of Florida, Warrington College of Business Administration, Hough Graduate School of Business - advise & mentor graduate students in Master in Finance Program on career opportunities & business life management skills, lecture on select investment banking topics (e.g., asset management, corporate finance, merchant banking/private equity, mergers & acquisitions, primary capital markets & securities research) and teach course entitled "Capitalism"; authored course textbook.
Member National Association of Corporate Directors
Curriculum Vitae