Expert Witness Summary
Testified in seven arbitrations.
Rendered opinion & gave attorneys guidance in ten cases. Constructed damages
& suggested alternative investment strategies.
Max Isaacman offers opinions on investment suitability, portfolio
construction, compliance & supervision. An investment professional for
over 45 years, manages institutional & individual accounts, writes for
major investment media outlets & has written four stock market books. Has
managed an office for a major broker/dealer & presently manages an
institutional department of a broker/dealer.
East/West Securities (1998 to Present)
Manager, Stockbroker, Registered Investment Advisor
Registered Representative for stocks & bonds (1984 – 1997)
- Manage the institutional department & write market reports.
- Manage discretionary & non-discretionary accounts.
- Expert witness & consultant to attorneys.
- Author, How to Be an Index Investor (McGraw-Hill, 2000); The Nasdaq
Investor (McGraw-Hill, 2001); Investing with Intelligent ETFs (McGraw-Hill,
2008); Winning with ETF Strategies (Financial Times Press, April 2012).
- Contributor to Minyanville.com.
SG Cowen (1980 to 1984)
- Registered Representative for institutional & individual investors
with several brokerage firms, including Merrill Lynch, Montgomery
Securities, Wedbush Morgan, Rodman & Renshaw, Cruttendon Roth, & McClurg
Capital. The Bank of California Vice President, Personal Trust &
Investments Division. Business development officer for the money-management
services of the bank. Prospected for new clients by cross-selling within the
bank marketed money management services within tax-advantaged structures
such as charitable remainder trusts.
- Wrote financial articles for media sources such as Personal
Investing News, the San Francisco Examiner, Investment Technology News &
Delta Airlines Sky magazine.
Lehman Brothers (1975 to 1980)
- Office manager, broker & partner. Co-built & managed an office
with 35 brokers. Had supervisory responsibility over brokers & operations
Merrill Lynch & Bache & Co.(1966 to 1975)
- Vice President, broker. Registered Representative for individuals
& institutions investing in stocks & bonds.
- Registered Representative for individuals & institutions investing
in stocks & bonds.
Presentations to CFA Institute societies;
- IBC Closed-End Fund Congress - New York City
- FTSE Global Index Conference - Geneva, Switzerland
- Appeared on Television:
- Tech TV
- CBS affiliates, San Francisco, Chicago & other shows
- B.S., Rider University, Lawrenceville, N.J.
- Additional studies:
- U.C. Berkeley Extension
- San Francisco StateUniversity
- Golden Gate University
- Securities Representative, Series 7
- NYSE Branch Office Manager, Series 12
- Registered Options Principal, Series 4
- Uniform Securities Agent State Law, Series 63
- Uniform Investment Advisor Law, Series 65
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