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Over 30 years of experience that includes academic,
dispute resolution and practical experience in the
financial industry. During the period 1978 to 1988, a
member of the Adjunct Faculty at Texas Christian
University, School of Business. Instructed classes in
Marketing, Personnel Management, Finance and Operations
Management. Since 1985 developed an advisory practice
specializing in management of retirement accounts, fee
based planning and consulting. From 1985 – 1988 was a FC
with Shearson Lehman Brothers dealing with retail
customers, as an additional duty was the Mutual Fund
coordinator and Retirement Plans specialist for the
branch. 1988-89 Was with Rotan Mosle/Paine Webber as a
retail FC and retirement plans specialist. In 1989
opened an Independent Contractor Branch for Raymond
James Financial Services (Formerly known as Investment
Management and Research). From 1989-2003 was the Branch
manager responsible for all compliance, new accounts and
suitability issues for the Branch. During this same time
established my advisory practice as an hourly fee-based service.
Mediation experience includes over 200 cases in the
areas of personal injury, contract, EEOC, and securities
cases. Appointed with the FINRA panel of mediators.
My Arbitration experience includes securities,
employment, and state usury cases. Appointed on the
FINRA (formerly NASD/NYSE) panels hearing cases in Dallas, Houston,
Oklahoma City.
Perform as an Expert witness concerning various
aspects of the financial industry; including ethics,
regulations, suitability, compliance and standards of
practice. Have worked for both plaintiff and defense.
Have testified in Texas District court, NASD Arbitration
hearings in Dallas, San Francisco. Have issued opinions
on cases that have assisted in reaching settlement
either through mediation or settlement discussions prior
to trial or hearings.
Write and instruct continuing education classes for
financial professionals ( CFP, CPA, Insurance Agents,
Stockbrokers) on various topics, including but not
limited to: ethics, rules and regulations, estate
planning, investments, etc. These classes are conducted
on behalf of Southwest Training Schools, a licensed
provider in Texas.
Military experience includes both active duty (1973-79)
and active reserve (1979-1994). Duties performed
included Pilot, Administrative Staff Office, Command and
Control center. Responsibilities included compliance,
classified activities, inspector team, command
responsibilities.
Contact us if we can assist
you with your dispute resolution or expert witness needs
within our areas of expertise.
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