Qualified as a Testifying Expert in Federal Court & FINRA Arbitrations in broker-dealer cases involving AML, Fraud, Cybersecurity, KYC, Day Trading and SEC Rule 15a-6.
Thirty (30) + years of broker-dealer experience as a Financial Crime Compliance Senior Manager building AML, KYC, & Fraud Management programs.
Specialized in building/managing transaction monitoring systems to detect money laundering, Elder Financial Exploitation ("EFE"), Account Take Over (ATO), Penny stock fraud, Suitability, KYC, Cybersecurity & filing Suspicious Activity Reports.
Served as a member of Senior Management Operational Risk Committees covering internal/external risks (i.e., Penny Stock Trading, Employee Conduct).
Appeared as an AML Subject Matter Expert (Moderator & Panelist) at industry conferences.
Active FINRA Arbitration Panelist & Chair for ten (10) + years.
Available to assist with the analysis of broker-dealer transactional data, regulations, policies, procedures & controls. Will assist in the preparation of complaints, responses, and expert reports utilized during settlement negotiations. Available to testify.
Litigation Experience:
*2026: EFE-Unauthorized Trading/Penny Stock Fraud (Retained)
*2025: EFE-Unauthorized Funds Transfer/AML(Settled)
*2024: EFE-Unauthorized Funds Transfer/AML(Settled)
*2024: EFE-Unauthorized Funds Transfer/AML(Settled)
*2024: Federal Court: Testified for SEC in 15a-6 & Day Trading
*2024: Mediation: EFE & Suitability (Settled)
*2024: FINRA Arbitration: Testified on AML, Fraud, Cybersecurity
*2021: Prepared report on penny stock & suitability abuse in a state enforcement action
*2010 - Present: FINRA Chair or Panelist at ten(10) Arbitrations
*1987-1990: Testified at enforcement Hearings for FINRA
Speaking Engagements:
* 2026: NYSBA - CLE Program-Elder Financial Exploitation: What are the Laws, Claims, and Defenses
* 2017: Congressional Taskforce on Terrorism & Unconventional Warfare, Washington D.C.
SER Voting Member
Curriculum Vitae