Expertise
I manage litigation support services with a concentration in securities and commodities brokerage. My focus is supervision, compliance, suitability, branch management, options and related issues. My knowledge and credentials enable me to perform as a highly experienced consultant. In addition to being qualified as a testifying expert in matters before Arbitrators for FINRA, the NYSE and the AAA, I have been qualified in New Jersey and New York State Courts and Federal Court.
(For search purposes, not intended to be a comprehensive list)
Expertise
I manage litigation support services with a concentration in securities and commodities brokerage. My focus is supervision, compliance, suitability, branch management, options and related issues. My knowledge and credentials enable me to perform as a highly experienced consultant. In addition to being qualified as a testifying expert in matters before Arbitrators for FINRA, the NYSE and the AAA, I have been qualified in New Jersey and New York State Courts and Federal Court.
(For search purposes, not intended to be a comprehensive list)
I have been an executive officer in the financial services industry with a broad range of experience covering branch management, compliance, sales, operations administration and management information systems.
I am an effective communicator who has had articles published and have lectured to industry groups on various subjects including Compliance Issues, Effective Management, Financial Consultant Responsibility, and Marketing/ Sales.
SER Voting Member
