Expert Witness providing consultation, deposition, & trial testimony in cases involving stockbroker activity, investment services functions, handling brokerage accounts, diversification, hedging, & suitability issues. Profile: I give written or oral opinions in cases involving activity between brokers & their customers. Also I construct damage assessments to show what results would have been possible using proper investment management. Among other matters are churning, diversification & portfolio management, suitability of stocks & strategies for customers, & stock selection.

Author, How to Be An Index Investor (2000) & The Nasdaq Investor (2001), both books published by McGraw-Hill. The Index Investor espouses an enhanced index approach, a blend of active & index-core management. The Nasdaq Investor helps investors profit & cut down on risk in this dynamic new market by using various strategies. Wrote an investment column for The San Francisco Examiner. Just type in my name on any search engine to browse my books, articles & speeches throughout the Internet.

• 1998 to Present - Institutional Department, East/West Securities
  Service & provide research for clients such as Bank of Ireland Asset Management, Templeton Investors, Schroders, Morgan Stanley Asset Management. Send research to plan sponsors such as City of San Francisco Retirement, New York Retirement, D. C. Retirement Board. Also manage fee-based accounts & broker individual accounts.
  
  
• 1997 to 1998 - McClurg Capital, San Francisco.
  Investment Advisor, broker & consultant. Managed & brokered private accounts & was a consultant for firms such as Autobond, Immucell, & Transnational Financial Network in their investor relations needs, including writing informational reports.
  
  
• 1993 to 1997 - Investment Advisor & broker for private & institutional accounts with Wedbush Morgan Securities & other firms.
  
  
• 1991 to 1993 - Vice President, The Bank of California. Consulted & sold fee-based money management to customers & prospects of the bank. Sold bonds & other securities to individuals & institutions.
  
  
• 1984 to 1991 - Institutional & individual broker for Montgomery Securities, Merrill Lynch, & other firms after moving to San Francisco. Also attended classes at San Francisco State University & UC Berkeley Extension, & free-lanced as a consultant & writer, writing articles for publications such as "Investment Technology News."
  
  
• 1980 to 1984 - SG Cowen
  Broker & office manager, Houston. Helped build & then managed an office of about thirty-five brokers, including having supervisory responsibility. Also oversaw an institutional unit. The office grossed over $1.0 million a month.
  
  
• 1975 to 1980 - Vice President, Lehman Brothers, Houston. Broker, handling individuals & institutions.
• 1965 to 1973 - Financial Consultant, Merrill Lynch, Houston, Texas. Stock & bond broker, handling individual & institutional accounts.

• B.S., Rider University, Lawrenceville, N.J.

• The Society of Securities Analysts
• IBC Closed-End Fund Congress, New York City
• FTSE Global Index Conference, Geneva, Switzerland, & other places
• Frequent commentator on television & radio, including:
  • CBS MarketWatch
  • Tech TV
  • Bloomberg
  • CBS affiliates in San Francisco & Chicago

• N.A.S.D. Arbitrator Panelist number 32451
• NYSE Panelist
• San Francisco Analysts Society
• Forensic Expert Witness Association

• General Securities Representative, Series 7
• Branch Office Manager, Series 8
• Uniform Agent State Law, Series 63
• Uniform Investment Advisor Law, Series 65