Expert Witness & Consultant in litigation & arbitration involving securities, insurance, annuities & taxation. 233 Arbitrations (205 wins 28 losses) & 53 mediations before NASD/ AAA/ NYSE/ PSE. Services are provided for both claimant & respondent. Director of Advertising Compliance at Empire Securities Corporation - 2007.

Common stocks, bonds, IPO's, L.P.'s, variable annuities, REITS, mutual funds & private stock offerings. ScoreCards analysis*, P&L's & damage calculations provided. Testifying as to unsuitability, breach of fiduciary duty, lack of due diligence & supervision, churning, stock manipulation, margin, options, best execution & RIA.

• Member NASD Regulation, Inc. Board of Arbitrators # A30388
  
• Panel Chairman - NASD # 99-03001 - April 2000
  
• Series 7, 24, 63, 65 (Empire Securities of So CA), 27 **, Insurance (life & variable annuity) Real Estate **
• Qualified & testified before California State Court as Securities Industry Expert Witness
• 6 depositions / 5 settled

**previously held

• California State College at Los Angeles (B/A -1958 - Speech & Communication)
• American Institute of Banking School of Finance & Taxation - Graduate - 1965

• Public Investors Arbitration Bar Association
• Professional Counsel, TASA
• Practising Law Institute - Panelist, Marketing Compliance - 1972 - R/E Syndication
• Real Estate Review - Published article - Fall - 1972;
• Panelist & Speaker-Annual Seminar for Securities Brokers 2000 - 2002 sponsored by Registered Representative & On Wall Street magazines
• Publications:
  
  • The Register (IARFC)
  • The Advisers Network, Winter 2002
  • PIABA Convention Speaker & Article, Fall 2003
• International Association of Registered Financial Consultants (IARFC)
• AAII
• Life Member - American Institute of Banking (AIB)

• Carlsberg Securities Corporation - 1969 - 1982
  • Branch Manager - Securities
• Westfield Capital Corporation - 1982 - 1986
  • Branch Manager - Securities
• Boardwalk Capital Corporation - 1987 - 1990
  • Vice President
  • Chairman - Corporate Finance Committee (due diligence)
  • Marketing Compliance Officer for 200 registered representatives
  • Acting Branch Manager
  • President - Registered Investment Advisor & Director of Recruiting
• Eric Equities, Inc. - 1992 - 1999
  • Branch Supervisor
• Financial Education Network Development - 1990 - Present
  • Owner & founder of financial planning firm providing educational seminars for corps, nationally.
  • Arbitration & expert witness services are additionally provided

• Bank of America - 1959 - 1965
  • AVP - Corporate Finance
• Union Bank - 1965 - 1969
  • VP - Manager of Business Development - So. California

• L.E. Cooper & Associates 1959 - 1965
  • Tax Accountant
• Carlsberg Insurance Agency - 1975 - 1982
  • President