Securities, Derivatives and Futures Expert Witness

EXPERIENCE

'69, Merrill Lynch Pierce Fenner & Smith

'73, Loewi & Company

Blunt, Ellis & Loewi Incorporated - ( Merger / Name Change )

'88, Kemper Securities Corporation - (Successor firm to B.E.L))

Investors Fiduciary Corporation - (affiliated trust company)

'91, London Investment Trust ("LIT")

'94, Internationale Nederlanden Gruppe ("ING") / Baring Bros.

'97, LIT Division of Speer Leeds & Kellogg

NYSE / NASD Registered Representative

NFA Associated Person / Branch Manager

NYSE Branch Office Manager

NASD Principal

Regional Manager - recruiting, training, marketing & supervision of Registered Representatives

Executive Vice President, Kemper Securities Corp. - divisional / P & L responsibility

Chairman - Investors Fiduciary Corporation (Trust Company)

Executive Director Correspondent Services - order execution / clearing, omnibus & fully-disclosed services

Consultant to major Japanese & Korean institutions - instructed key employees in year-long courses in trading of capital & derivative markets - (real-time trading with funded accounts)

Instructor - Trained more than 500 stock & futures brokers

Contributed to / wrote Compliance & Procedures Manuals; Implemented compliance/control systems, procedures

Corporate finance - underwriting, private placement, merger / divestiture / acquisition

FORMER DIRECTOR

National Futures Association (self-regulatory org.)
Loewi Financial Companies Ltd. (predecessor company to Kemper, First Union)
Investors Fiduciary Corp, INTEX (First offshore electronic exchange)

DISPUTE RESOLUTION EXPERIENCE

NASD
Exchange NFA and AAA arbitration
Federal Reparations Proceedings
Litigation - jury and bench trials - Federal & State. (Litigation / arbitration experience since late '70's)

SUMMARY

Continuous employment in the Securities and Derivatives industry 1969 - 2000. Progression of responsibilities from account executive to executive vice president, training, managing and supervising many facets of investment and proprietary trading, including product development / distribution; Corporate Finance.

ARBITRATOR

Exchanges
NFA
Appellate panelist

FORMER MEMBERSHIPS

Chicago Board of Trade
Chi. Mercantile Exchange
Chi. Board Options exchange
Int'l Monetary Market
Intex, MCE
Association of Certified Fraud Examiners (Securities)

REGISTRATIONS

S-3 Commodity Futures)
S-7 (General Securities)
S-8 (Sales Supervision)
S-8BM (NYSE Branch Office Manager)
S-24 (Securities Principal)
S-52 (Municipal)
S63 (States Blue Sky)
(All granted 1969 thru 1980)

KEYWORDS

Securities Expert Witness, Commodity Futures Expert Witness, NYSE Expert Witness, NASD Expert Witness, NFA Expert Witness, training Expert Witness, marketing Expert Witness, trading of capital and derivative markets Expert Witness, real time trading/funded accounts Expert Witness, brokers trainer Expert Witness, compliance procedures Expert Witness, corporate finance underwriting Expert Witness, private placement Expert Witness, merger Expert Witness, divestive Expert Witness, arbitration Expert Witness, Variable Annuities Expert Witness, Annuities Expert Witness

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