President, Southlake Capital Advisors, Inc.
P O Box 92818
Southlake, TX 76092
Work: 817 329 5950
Rules and regulations for both broker/dealers and investment advisors, generally accepted industry practices, fixed income securities, structured finance, due diligence, risk analysis, suitability, churning, damages, clearing systems, clearing firms and introducing firms.
Richard Sandow has more than 50 years experience as an investment professional – as a registered broker, supervisor, fixed income specialist, financial and operations principal. He has been engaged more than 750 times by both Claimants and Respondents and has testified in Federal Court and a variety of state courts and arbitration forums. Areas of expertise include supervision, suitability, misrepresentation, churning, investment analysis, structured finance, municipal securities, industry standards, and rules of SEC, FINRA and various state securities boards.