I have comprehensive knowledge of the securities broker dealer business, including:

• The laws, rules and regulations that govern the business, including federal and state and FINRA (the Financial Industry Regulatory Authority, which has taken over the regulatory duties of the New York Stock Exchange and the National Association of Securities Dealers)
• Firm supervisory rules and practices
• Branch office operations
• Broker compensation
• Order execution
• Clearing functions
• The Depository Trust Corporation
• Broker dealer products, including: common and preferred stock; options; mutual funds; ETF’s; corporate bonds; Treasury bills, notes and bonds; municipal bonds; junk municipal bonds; agency paper; collateralized debt obligations (CDO's); collateralized mortgage obligations (CMO's); derivatives; commodities; limited partnerships; annuities; and REITs.

I have extensive experience in securities arbitrations, both as an advocate and arbitrator.

I bring this experience and knowledge to bear on disputes between investors and broker dealers, whether the claim is for unsuitable securities recommendations, fraudulent sales pitches, churning, failure to supervise, breach of fiduciary duty, mutual fund switches, negligent order execution, margin debt or any other kind of dispute.

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