Expertise
Testifying Expert & Litigation Support, Trusts & Estates, Breach of Fiduciary Duty; Fiduciary Standards of Care; Trustee and Executor Conduct; Self‑Dealing; Contested Administration; Probate, Duty of Care, Duty of Loyalty, Beneficiary Disputes; Conflicts of Interest; Fiduciary Governance; Professional, Corporate Trustees, Fiduciary Risk Assessment; Asset Tracing; Complex Entity Structures. RIA, Investment Adviser; Broker‑Dealer; Securities; Suitability; Failure to Supervise; Compliance; Incentive Compensation; Fee Structure; Disclosure Failures; Misrepresentation and Omissions; Adviser Fiduciary Standards; Damages; Regulation BI; FINRA; SEC; OCC; Banking, Lending, Wealth Management, Private Banking; Retail and Business Banking; Underwriting; Banker and Adviser Management. Employment Disputes; Complex Assets and Structures; Private Equity; Cryptocurrency; Digital Assets; Hedge Funds; DSTs. Trust & Business Owned Insurance; Complex Insurance; Captive Insurance; Premium Financing .
(For search purposes, not intended to be a comprehensive list)
Expertise
Testifying Expert & Litigation Support, Trusts & Estates, Breach of Fiduciary Duty; Fiduciary Standards of Care; Trustee and Executor Conduct; Self‑Dealing; Contested Administration; Probate, Duty of Care, Duty of Loyalty, Beneficiary Disputes; Conflicts of Interest; Fiduciary Governance; Professional, Corporate Trustees, Fiduciary Risk Assessment; Asset Tracing; Complex Entity Structures. RIA, Investment Adviser; Broker‑Dealer; Securities; Suitability; Failure to Supervise; Compliance; Incentive Compensation; Fee Structure; Disclosure Failures; Misrepresentation and Omissions; Adviser Fiduciary Standards; Damages; Regulation BI; FINRA; SEC; OCC; Banking, Lending, Wealth Management, Private Banking; Retail and Business Banking; Underwriting; Banker and Adviser Management. Employment Disputes; Complex Assets and Structures; Private Equity; Cryptocurrency; Digital Assets; Hedge Funds; DSTs. Trust & Business Owned Insurance; Complex Insurance; Captive Insurance; Premium Financing .
(For search purposes, not intended to be a comprehensive list)
Testifying and consulting expert witness and Registered Investment Adviser with 35+ years of experience in fiduciary governance, banking and lending practices, trust and estate disputes, investment advisory standards, securities regulation, and complex financial structures. Certified Trust and Fiduciary Advisor and Certified Fraud Examiner, providing clear, standards based opinions and sworn work product for courts, arbitration forums, and counsel, including expert reports, declarations, affidavits, depositions, and trial testimony.
President of Esoteric Advisors, an expert witness and consulting firm representing plaintiffs and defendants in fiduciary, financial, and governance disputes involving trustees and executors, beneficiaries, RIAs and broker‑dealers, banks, lenders, family offices, and corporate fiduciaries. President, Chief Investment Officer, and Chief Compliance Officer of Wealth Innovation, a Registered Investment Adviser focused on investment management and advisory services, with ongoing RIA work grounding opinions in current market, product, and regulatory practices. Advise RIAs, family offices, and business owners on investment policy, governance, compliance, and regulatory considerations.
Twenty‑six years at Wells Fargo, including service through the 2008 financial crisis and later institutional failures, provide first‑hand insight into fiduciary governance, internal controls, incentive compensation structures, and employment disputes. Held senior leadership roles, including District Manager and senior wealth management positions, with responsibility for multi‑office operations, ultra‑high‑net‑worth clients, lending, compliance, human resources, and corporate governance oversight.
SER Voting Member
