Attorney Profiles

Since 1972 when I left the Securities and Exchange Commission, my office has specialized in broker/dealer-customer disputes and regulation of brokers. Approximately 80% of my practice is devoted to these subject areas. I have extensive experience in the analysis of customer account problems, including suitability, churning, unauthorized transactions, as well as less common problems that can arise between a broker and a customer. I have brought a large number of customer claims in court as well as before various arbitration tribunals, principally before the National Association of Securities Dealers. I am well known in my geographical area, both within the securities industry and among members of the securities arbitration bar and securities defense counsel. I am a securities industry arbitrator, and have served on arbitration panels for the American Arbitration Association, the National  Association of Securities Dealers, and other arbitration tribunals.

In addition to the above, I am familiar with most areas of broker-dealer regulation, including compliance, and have represented brokerage firms and individual stockbrokers in connection with arbitrations, employment agreements, termination disputes, form U-4 and U-5 problems and related matters, including FINRA (formerly NASD), SEC and State Securities Commission and Insurance Commission investigations. 

Areas of Practice

• 100% Securities Law

Litigation Percentage

• 50% of Practice Devoted to Litigation

Bar Admissions

• District of Columbia, 1968
• California, 1971
• U.S. District Court of the District of Columbia, 1968
• U.S. Court of Appeals District of Columbia Circuit, 1969
• U.S. District Court Central District of California, 1972
• U.S. Court of Federal Claims, 1973

Education

• University of Pennsylvania Law School, Philadelphia, Pennsylvania, 1967
  Juris Doctor
  Honors: Student Moot Court Board
  
  
• Bard College, Annandale on Hudson, New York, 1964
  Bachelor of Arts
  Honors: Dean's List
  Major: English Literature
  
  

Professional Associations and Memberships

• American Arbitration Association
  Member, Panel of Arbitrators
  
  
• NASD Regulation, Inc.
  Member, Board of Arbitrators
  
  
• Los Angeles Mission College Paralegal Studies Program
  Member, Advisory Board
  
  
• National Society of Compliance Professionals
  Member
  
  
• National Futures Association
  Member, Board of Arbitrators
  
  

Past Employment Positions

• United States Federal Trade Commission, Washington, D.C. Office of Commissioner Philip Elman, Attorney Advisor, 1967 - 1968
• United States Department of Commerce, Washington, D.C. Office of Foreign Direct Investment, Compliance Attorney, 1968 - 1970
• United States Securities and Exchange Commission, Los Angeles, California, Trial Attorney, 1970 - 1972

Birth Information

• March 20, 1943, Washington, District of Columbia, United States of America