Broker-Dealer Regulations Expert

Case Description:

A broker-dealer regulations expert with knowledge of short sale transactions was needed for a breach of contract case. The plaintiff, a trustee and lending agent for corporate pension trusts, loaned shares of securities from those trusts to the defendant in return for collateral and a fee. The defendant used the borrowed shares for transactions on its customer accounts, such as enabling short sales. Plaintiff alleged the defendant didn’t compensate the plaintiff appropriately for the loan of the securities.

IMS ExpertServices was asked to locate an expert in broker-dealer regulations with knowledge of options trading, short sales, and broker dealer regulations, particularly Federal Reserve Board Regulation T. The expert was needed to opine on the economic substance of the short sale transactions.

Experts Presented:

  • Securities Expert

    This expert in broker-dealer regulations has more than 40 years of securities industry experience. He runs a specialty consulting firm providing margin credit advice and evaluations. Before founding his own firm, he had a 25 year career on the New York Stock Exchange. He frequently represented the NYSE at specialized lectures and seminars on the securities industry. This expert has consulted on margin training and development for the NYSE and member organizations, and offered depositions and trial testimony on several securities related matters.IMS Reference #5020746

  • SEC Compliance Expert

    This SEC compliance expert has more than 35 years of broker-dealer regulatory experience. He spent 23 years with the SEC, where he amassed significant regulatory experience in the over-the-counter securities market, including pricing, order execution, the operations of self regulatory organizations, and broker-dealer sales practices. This expert is proficient in investigating broker dealer activities. He has a thorough knowledge of Federal Reserve Board regulations, including Regulation T.IMS Reference #5020906

  • Broker Dealer Expert

    This broker dealer regulations expert presides over a consulting group that offers services to broker dealers. He is a General Securities Registered Representative and a Certified Financial Planner, or CFP. This expert has served as an analyst or consultant for many securities and securities brokerage disputes. He is a member of an NASD Committee that reviews broker discipline issues. He has more than 35 years of experience in the securities industry.IMS Reference #5021098

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