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.
50+ years 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 in 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-author) of the “Capital Markets Handbook”, created in 1999 for securities industry under trade group (SIA, now SIFMA) sponsorship; now in Seventh Edition, 2023 Supplement. 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 (Lecturer in Finance), 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 (asset management, corporate finance, merchant banking/private equity, mergers & acquisitions, primary capital markets & securities research) and teach course entitled "Capitalism"; authored course textbook.
Curriculum Vitae