Qualified as a Testifying Expert in Federal Court & FINRA Arbitrations in broker-dealer cases involving AML, Fraud, Cybersecurity, KYC, Day Trading and SEC Rule 15a-6.
Thirty (30) + years of broker-dealer experience as a Financial Crime Compliance Senior Manager building AML, KYC, & Fraud Management programs.
Specialized in building/managing transaction monitoring systems to detect money laundering, Elder Financial Exploitation (EFE), Account Take Over (ATO), Penny stock fraud, Suitability, KYC, Cybersecurity & filing Suspicious Activity Reports.
Served as a member of Senior Management Operational Risk Committees covering internal/external risks (i.e., Penny Stock Trading, Employee Conduct).
Appeared as an AML Subject Matter Expert (Moderator & Panelist) at industry conferences. Presented at the Congressional Taskforce on Terrorism & Unconventional Warfare in Washington D.C.
Active FINRA Arbitration Panelist & Chair for ten (10) + years.
Available to assist with the analysis of broker-dealer transactional data, regulations, policies, procedures & controls. Will assist in the preparation of complaints, responses, and expert reports utilized during settlement negotiations. Available to testify.
Litigation Experience:
*2025: Retained in Elder Financial Abuse Arbitration (open)
*2024: Retained in Elder Financial Abuse Arbitration (open)
*2024: Retained in Elder Financial Abuse Arbitration (open)
*2024: Federal Court: Testified on behalf of SEC in 15a-6 & Day Trading case
*2024: Mediation: Prepared report on Elder Abuse & Suitability for settlement negotiations
*2024: FINRA Arbitration: Testified as AML, Fraud, Cybersecurity SME
*2024: FINRA Arbitration Chair: Cybersecurity incident(open)
*2021: Prepared analysis on penny stock abuse & suitability in a state enforcement action
*2010 - Present: Served as FINRA Panelist at five(5) Arbitrations
*1987-1990: Testified at enforcement Hearings on behalf of FINRA
SER Associate Member
Curriculum Vitae