Over 27 years securities and expert experience, formal AIFA fiduciary training.
The expert who wrote a major Wall St broker dealers' compensation plan, accounting manual, margin account, money market mutual fund sweep policy, customer account surveillance compliance reports and designed one of the first structured products in the 1980s.
FiduciaryFORENSICS examines all parties and transactions. Fiduciary performance, breach of fiduciary duty, liability, damages analysis, model portfolio, recovery. Rule 405, Suitability, Supervision, Failure to diversify, Taxes, Asset Allocation, Hedge Funds, Private Placements, RMBS, CDO's, CDS, Disclosure, ADVs.
Compensation, Valuation training, recruit, retirement, raiding, termination, customer account distribution, payment for order flow, order flow profit, broker dealer or branch profit analysis, U5 or U4 issues in employment matters.
FINRA (NASD) securities Arbitration; Trust, Estate, Probate; ERISA defined benefit pension 401k & Profit Sharing plans; Charities, Not for Profits, Foundations, Endowments and Divorce, Marital Settlements, QDROs.
Additional Areas of Expertise - Compensation, Training, Employment
Stock broker, Series 7 licensees, Financial planner, CFP's, Supervisors, Branch manager, Regional and national Executives, Product Managers, External product Wholesalers, Product Coordinators, Traders, Stock Loan, Securities Lending, Prime Broker, Margin, Structured Products, Principal Protected products.
Branch and Regional P&L analysis, valuation, Product Marketing, Distribution, Sales Force and Market Penetration Studies.
FiduciaryALERT: Wall Street's 3,000 to 1 Shot
This article disabuses the notion that "deadbeat borrowers" caused the financial crisis. And offers an answer to the question that still lurks in the mind of every American; whether black, white, native American, asian or Hispanic; whether educated or not; whether English, Spanish, or Mandarin speaking.
FiduciaryALERT™ - House Price Bubble Caused By Hidden "2,000X (times) Leverage"™
Historical returns of the major asset classes should be required knowledge among all investors, banks, regulators; especially trustees and fiduciaries.
FiduciaryALERT™ - NEAR THE END OF MONEY?
A new STD; (Securitization transmitted damages), could make the Madoff fraud look ant-like. Potential losses may exceed hundreds of billions of dollars.
Madoff Matters - Fiduciary Forensics
As events unfold in the Madoff matter, www.fiduciaryexpert.com has issued a summary related to liability and potential recovery. Of note, feeder funds, introducing parties, board members or trustees of non profits and other eleemosynary organizations, advisers thereto and any insurance coverage
1/5/2009
Bernie Madoff's name has become synonymous with being ripped off financially. But his huge Ponzi scheme is only the most famous example of fiduciary foul play in the news today. Thanks to Mr. Madoff's notoriety, BFD (Breach of Fiduciary Duty) may soon enter the American public's lexicon as a description for swindling investment clients. As events unfold in the Madoff matter, www.fiduciaryexpert.com has issued a summary report related to liability and potential recovery which can be viewed at Experts.com.