- United State District Court for the District of Connecticut,
- United States District Court for the District of Massachusetts,
- Superior Court of San Bernardino County, California,
- Superior Court of Orange County, California,
- Superior Court of Los Angeles County, California
- Muskegon County District Court, Muskegon, Michigan,
- National Association of Securities Dealers (NASD) Arbitration panels.
- Financial Industry Regulatory Authority (FINRA) Arbitration panels.
I have testified in numerous instances from 1991 to 2024 on the following topics:
Supervision of Registered Representatives:
Failure to Supervise, including industry practice and standard of care in complying with FINRA Rules.
Best practice and standard of care over and above FINRA Rules.
Suitability of investors
Industry practice and standard of care in profiling customers and complying with FINRA Rules.
Suitability of Investments
Individual stocks,
Government bonds, including Government National Mortgage Association (GNMA) bonds,
Municipal bonds,
Listed Options,
Mutual Funds, breakpoints, share class,
Suitability of Strategy.
Individual stocks fundamental analysis, technical analysis, momentum trading or buy and hold.
Government bonds vary in quality and diversification.
Listed Options, buying, covered writing, naked sales, straddles, and conservative vs. speculative.
Suitability of Registered Representative
A series 7 registration does not always translate to competency in special products or strategies.
Registered Investment Advisor
Industry practice and standard of care for a Registered Investment Advisor.
Difference between suitability standards and fiduciary standards. Licenses and Registrations