Tasa ID: 2068
Description: 30 years experience in securities. Full knowledge of products, services, administration, people development and operations for major firm in six states. FiNRA arbitrator and expert witness in over 25 cases since 2002. Arbitration in securities matters and employment issues. Supervision of brokers. SEC, NYSE and NASD compliance and sales practices. Subprime matters. Churning, Suitability, Fraud, Discretion, Market timing
Location: Jamestown, RI
Call 800-523-2319 or email experts@tasanet.com if interested in this person.