Peter J. Pfeffer
605 Woodhaven Drive
Mundelein, IL
60060
Phone: (847) 837-0791
Alt. Phone: (847) 840-5213
Fax: (847) 970-6383
Profile:
Arbitrator and/or expert witness since the late 70s - Experienced with Exchange, NASD, AAA, NFA and London Tribunal arbitrations; Federal and State jury & bench trials; US Federal Reparations Proceedings; Past member of Appellate Panel. Dispute experience in customer vs brokerage firm, firm vs firm, Registered personnel vs employer, "financial suicide." (defense & plaintiff.) Experienced in all facets of the stock and bond industry; Stockbroker, Commodity broker, Branch office manager, Regional Director, EVP of national securities firm; Chairman of trust company; Member of exchanges; past Director of employer firm, derivatives exchange, National Futures Association. Wrote compliance and procedures manuals; Architect of order-entry and risk management systems.
Education/Licenses:
S-3 Commodity Futures; S-7 General Securities; S-8 Sales Supervision; S8-BM NYSE Branch Office Manager; S-24 Securities Principal; S-52 Municipal; S-63 States Blue Sky
Years as Expert: 20
Primary Area of Expertise: Securities/Commodity Futures & Options
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