1977-1987 SALOMON BROS,INC.
OPERATIONS VICE PRESIDENT
-Margin Dept
-Dividends Dept
-New Accounts Dept
-Operations Compliance Auditing
-Records Department.
OPTIONS/FUTURES TRADING DESK
-Program Trading
-Index Arbitrage
-Buy/Writes
-Portfolio Insurance
-Prime Broker.
1987-1989 THE FIRST BOSTON CORP,
PRODUCT MANAGER OPTIONS DEPT
-Index Arbitrage
-Prime Broker
-Buy/Writes
-Portfolio Insurance.
1989-1990 DREXEL BURNHAM, LAMBERT,
OPTIONS TRADING
-Buy/Writes
-Hedging Strategies.
1990-1991 C.B.O.E. INSTITUTIONAL MARKETING DEPT
-Hedging Strategies to the 1000 Pension Funds.
1991-1993 ALEX BROWN & SONS,
INSTITUTIONAL OPTIONS DEPT
-Inaugurated Prime Broker Service
-Overwrites
-Buy/Writes.
2000-2001 FIRST UNION BANK,
FINANCIAL CONSULTANT GROUP
-Small Business Banking Services including 401K
2001-2005 JP MORGAN/PLEXUS GROUP,
VICE PRESIDENT- PENSION GROUP
-Trade Cost Analysis
-Transition Analysis.
2005-2008 REFLOW MANAGEMENT,
VICE PRESIDENT SALES
-Portfolio liquidity Analysis
-Trade Cost Analysis
-Transition Analysis.
2008-Present, EXPERT WITNESS CONSULTING,
REPRESENTATIVE CASES
-Rosen vs Merrill Lynch
-Zilber vs Penson Financial Services Inc.
-Bayou vs Goldman Sachs Execution & Clearing, L.P.
-Montfort vs C.L.King.
FINRA/NASAD REGISTRATIONS
-Series 3 National Commodity Futures (1982-1999)
-Series 4 Registered Options Principal (1982-1999)
-Series 7 General Securities Rep (1980-1999)
-Series 15 Foreign Currency Options (1982-1999)
-Series 63 Uniform Securities Agent State Law (1982-1999).
