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Expert Bio

Primary Area of Expertise

Securities/Commodity Futures & Options

Expert Witness Profile

Sc.D. (MIT). Founder, money management firm. Securities, commodity futures and options trading experience. Claimants, plaintiffs, respondents and defendants. More than 20 years experience nationwide. Arbitrator: NASD (now FINRA), NYSE. AAA and NFA. Mediator with NASD training. Broker/Customer disputes: stocks and bonds; options, commodity futures and currency trading; derivatives including swaps; limited partnerships, hedge funds and managed futures, e.g., suitability, churning, unauthorized trading, lack of supervision, spreading and hedging, due diligence and marketing. Other areas: asset management and pension investments; securities and futures tax matters including IRS examinations, appeals and US Tax Court appearances. Services: consultation, statistical and damage analysis, arbitration, mediation, court or arbitration testimony. Consultant to the NYSE, Options Clearing Corporation, CBOT, CME, COMEX, TIAA/CREF, banks and other major clients. Member: Compliance & Legal Society, Securities Industry and Financial Markets Association.