San Diego, California
Financial Expert Witness, Securities & Investments Expert Witness
Breach of fiduciary duty, Uniform Prudent Investors Act, churning, suitability, broker/dealer standards and compliance, investment advisor, portfolio management, asset allocation, unauthorized trading, elder abuse, FINRA, financial advisor, financial planning, supervision, B/D employment issues
Financial advisor/portfolio manager with over 30 years’ professional experience including serving as a Senior Vice President for both Morgan Stanley and Wells Fargo Advisors. Extensive experience with high net-worth and ultra-high-net worth clients. Substantial supervisory experience including managing 55 financial advisors with accounts totaling in excess of $4 billion. Experience with numerous employment issues at broker/dealers. Spotless compliance record. Accomplished public speaker. Experienced expert witness testifying in AAA, FINRA and Superior court venues and deposition. Member of Securities Experts Roundtable.
Professional Designations: (all from Wharton School Executive Education):
Certified Investment Management Analyst
Senior Financial Advisor
Senior Branch Manager
FINRA--Dispute Resolution Arbitrator
Center for Fiduciary Studies--Accredited Investment Fiduciary
IMCA--Certification--Fiduciary Best Practices
Series 7—General Securities License--19...