Fiduciary Duties Specialist, Expert Witness and Forensic Consultant.
Over 20 years in financial services with an emphasis on Broker/Dealer sales force recruitment and management. Extensive deposition experience.
EXPERT ID: 424
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Location: US
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Short Biography:
Summary of Qualifications Over 20 years in financial services with an emphasis on Broker/Dealer sales force recruitment and management. Extensive deposition experience. I am both a Certified Financial Planner and a NASD Industry Arbitrator. I have reviewed literally thousands of credentials and disciplinary histories of NASD Registered Representatives seeking broker/dealer affiliation. My Industry licenses, experience, training given and received qualify me to give expert opinions on the disputes and instruments listed below.
Licenses NASD Series 7,6,22,63,65,24, Insurance, Variable Annuities
Expertise and Experience Fraudulent Activity
Breach of Fiduciary Duty
Misrepresentations/Non-Disclosures
Unauthorized Trading
Churning and Omission of Facts
Suitability
Employment
Breach of Contract
Discrimination
Harassment
Commissions
Termination
Training Contracts
U-5 Slander
Compensation
Promissory Notes
Wrongful Termination
Other
Raiding Disputes
Securities, Financial Instruments and Investments Annuities
Corporate Bonds
Mutual Funds
Options
REITs
Common Stock
Government Securities
Municipal Bonds
Limited Partnerships
Education Georgia Tech/Mechanical Engineering
Alexander Hamilton Institute/Modern Business
Dale Carnegie Courses/Management, Leadership, Sales
Numerous Professional and Continuing Education Courses
Recent Employment 1990-Present SunAmerica Securities Phoenix, AZ
Vice President/Field Development
Managed the department that aggressively located, qualified, and contracted appropriate securities/ insurance/ investment advisory sales people for the Broker/ Dealer. Reviewed/ evaluated disciplinary and production histories. Confirmed proper licenses. Rejected unsuitable candidates. Presented evaluated prospective candidates to executive review process. More than doubled sales force size.
Previous pertinent experience with SAS and other organizations includes organizing and managing compliance and investment advisory functions for a startup financial planning firm, building a record sized sales force for a leading financial planning firm, owning a professional recruiting company.
