Our Senior Consultants
Senior banker and experienced problem-solver in investment advisory, trust and broker-dealer services.
During more than 30 years experience in bank management, this expert’s responsibilities included serving as Chief Investment Officer of a major bank where he supervised trust and investment staff managing discretionary accounts and mutual funds. Previously, he served as Chief Investment Officer of a New York money center bank supervising portfolio managers with $20 billion under management, and served as Chairman of the Board of Trustees of the bank’s family of mutual funds. He also has experience in the areas of fiduciary compliance and hedge fund management.
Since 2003, he has brought resolution to more than 350 cases as a securities and investments expert. These matters have involved suitability, fiduciary duty, supervision, portfolio management, investment research, analyst responsibilities, standards of care, and churning in products such as trust and advisory accounts, mutual funds, hedge funds, options, variable annuities, and structured products. Representative litigation and arbitration results include: 1) ERISA matter on behalf of Plaintiff - judgement $15 million; 2) testimony on behalf of SEC – monetary penalty of $18.4 million; 3) AAA arbitration on behalf of Claimant - $48.4 million awarded; 4) FINRA matter on behalf of Respondent – Claimant’s $56 million claims denied; 5) FINRA matter on behalf of Respondent – Claimant’s $2.5 million claim denied.