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Securities & FINRA Expert Witness | Maine

Expert Qualifications

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.

Bio Snapshot

Location: ME
BS, Florida Southern College
Training, Securities, FINRA, Wharton & New York Institute of Finance
License: FINRA arbitrator
Former, Managing Director, Duval Asset Management
Former, Manager, New York City District Professional Resource Center
Former, Resident Manager & Broker, Merrill Lynch

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