Securities Arbitration Expert

This securities arbitration expert has over 25 years of experience with arbitration cases involving securities and investment disputes. He has equal experience managing various investments as principal of an investment advising firm. He has testified before state courts, federal courts and financial industry arbitration panels and consulted on more than 2,000 securities cases. He has presented several talks on securities arbitration and mediation for the Practising Law Institute. He has authored several articles on securities arbitration procedures, case preparation and auction rate securities arbitration for the Practising Law Institute.

• Testified at trial
• Testified in deposition
• Testified at arbitration for over 30 securities and investment cases

• Over 25 years of experience with securities and investment arbitration
• Principal of a registered investment advisory firm for over 25 years
• Portfolio manager for a major logistics corporation for 10 years
• Extensive experience with securities arbitration disputes involving fixed income, equity, capital investments and litigation consulting
• Familiar with investment brokering
• Member of the Securities Industry Committee and the National Futures Association (NFA) Board of Arbitrators

• M.B.A.
• B.A., English
• Graduate studies in Business

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