FINRA Expert Witnesses in New Hampshire

This highly qualified expert has over 30 years of experience in the field of risk management and insurance and asset management. He earned his BA in the history of science and his MBA in finance from the University of Chicago Graduate School of Business. He is very active in his field as a member of several professional societies including the Professional Risk Managers International Association, the Buy Side Risk Managers Group, the Investment Company Institute, and the Boston Security Analysts Society. In addition, this expert is a Chartered Financial Analyst (CFA) with over 10 publications. He formerly held many roles including portfolio manager of derivates & mortgage-backed securities at Allstate Life Insurance, head of derivative strategy and head of alternative investments at Putnam Investments, and board member of TIAA-CREF Life Insurance Company. This expert is currently a risk manager at a federal reserve bank in Massachusetts.

This highly-qualified securities expert has over 30 years of experience in equity securities and trading. He earned his BA from Saint Lawrence University and holds the Series 7, 9, 10, 24, 55, 63, & 99 licenses. He has held a number of distinguished roles, including the head of global equity sales at ABN AMRO, the CEO and COO of Harborside Securities, and the head of equities at Fidelity Capital Market Services. He has supervised and managed large and diverse sales and trading operations, and has a deep understanding of market structure, electronic trading, and alternative trading systems. Prior to his current position as the managing partner of a securities consulting firm, this expert served as both the chief operating officer and the chief compliance officer for Open Door Securities.

This expert has over 15 years of experience in financial services, consulting with Financial Advisors, Registered Investment Advisors, and Broker-Dealers.

This highly qualified expert is a licensed FINRA arbitrator with years of experience in trusts, treasuries and financial planning. He received his BS degree from Florida Southern College and completed his training in securities at FINRA, Wharton and the New York Institute of Finance. He is a former branch manager at Merrill Lynch and the former manager of the New York City District Professional Resource Center, which is comprised of over 40 specialists serving 700+ brokers and clients. He has reviewed 1000+ daily trade blotters and has been involved in dozens of employment situations.