Expertise
Clientele have included the SEC, IRS, U.S. and state-level Attorneys General and Securities, Banking and Insurance Commissioners,U.S. and foreign individual and institutional investors, banks, insurance companies, law firms, hedge funds, brokerage firms & investment advisors.
Equity and debt instruments, specific-issue and index derivatives, listed and OTC markets, trading and valuation of options, futures and ISDA forward contracts on stocks, U.S. corporate, municipal and government bonds, commodities, financial and foreign currency indices, asset allocation, portfolio management and after-tax considerations and strategies, public and private offerings, hedging, fundamental security analysis, trading, Ponzi schemes, prime broker operations and clearing, Reg-T and Portfolio Margin, wrongful margin liquidation, CMOs, structured products, industry practice and standards, suitability, adequacy of risk disclosure, risk arbitrage, loss causation, damage theory, methodology and calculation.
(For search purposes, not intended to be a comprehensive list)
Expertise
Clientele have included the SEC, IRS, U.S. and state-level Attorneys General and Securities, Banking and Insurance Commissioners,U.S. and foreign individual and institutional investors, banks, insurance companies, law firms, hedge funds, brokerage firms & investment advisors.
Equity and debt instruments, specific-issue and index derivatives, listed and OTC markets, trading and valuation of options, futures and ISDA forward contracts on stocks, U.S. corporate, municipal and government bonds, commodities, financial and foreign currency indices, asset allocation, portfolio management and after-tax considerations and strategies, public and private offerings, hedging, fundamental security analysis, trading, Ponzi schemes, prime broker operations and clearing, Reg-T and Portfolio Margin, wrongful margin liquidation, CMOs, structured products, industry practice and standards, suitability, adequacy of risk disclosure, risk arbitrage, loss causation, damage theory, methodology and calculation.
(For search purposes, not intended to be a comprehensive list)
45 years experience in the securities industry.
40 years experience as an expert witness.
Testimonial (180+), deposition (30) and analytic experience since 1983 in over 1,000 disputes in U.S. and International arbitrations, U.S. state & federal courts, and foreign courts.
c.v. available in PDF format at www.thornapple.net
30 Investment & Law articles available on Westlaw
Founding member (1983 to present) day of Thornapple Associates, Inc., a firm engaged in expert witness services in connection with trials, arbitrations and regulatory proceedings related to securities, commodities and commercial disputes.
Clientele have included the Securities and Exchange Commission, the Internal Revenue Service, U.S. and state-level Attorneys General and Securities, Banking and Insurance Commissioners, law firms, both U.S. and foreign individual and institutional investors, banks and insurance companies, operating corporations and LLCs, brokerage firms, ERISA pension and profit-sharing plans, registered investment advisors, market-makers, hedge funds, non-profit organizations and foundations, bankruptcy trustees, trusts and estates.
Business mix: 60% U.S. / 40% International.
Founding Member: Securities Expert Roundtable
Harvard University, John F. Kennedy School of Government, and Graduate School of. Arts and Sciences
Harvard Business School;
Massachusetts Institute of Technology (M.I.T.);
University of California at Santa Barbara;
University of Maryland, Berlin, Germany;
University of Miami, Coral Gables, Florida;
U.S. Army, Captain, Military Police Corps, 1966-1971
Commercial Pilot; Instrument-rated, single engine,
Aircraft Owners and Pilots Association:
Married: Tracy Conner
Curriculum Vitae
SER Voting Member
