SEC Compliance Expert
This stock exchange officer served for 10 years as Executive Vice President of NASDAQ, and continues to consult for them. As Executive Vice President, he oversaw setting of ex-dividend dates and assuring compliance of record date and pay date reporting. He was responsible for ensuring resolution when disputes arose over payout of dividends. This expert has prior experience offering testimony in Federal Court.
IMS Reference #4994333
Securities Industry Expert
This certified financial planner, or CFP, with an MBA in finance is a securities industry expert who has offered FINRA and SEC compliance consulting to established and start-up brokers for more than ten years. An experienced expert witness, she has more than twenty years in the securities industry, including direct regulatory experience. This expert previously served as a compliance officer for Merrill Lynch and Senior Compliance Examiner for the Financial Industry Regulatory Authority, or FINRA. IMS Reference #1214629
With more than three decades in the securities industry, this SEC compliance expert served as Floor Governor and Floor Trading Committee member on three exchanges. Heís acted as compliance and operations liaison for OTC and block trading and been an arbitrator with the AAA, NASD, and NYSE. He owns and operates a broker dealership and has experience as a senior examiner and instructor with the National Association of Securities Dealers, or NASD.
IMS Reference #4942991