He is a financial services regulatory compliance expert witness that has over 35 years of experience in financial planning, broker-dealer and investment advisory compliance, and fiduciary standards, with a focus on insurance and securities products. Their work involves evaluation of supervisory systems, regulatory obligations, and industry practices governing financial institutions and advisors. The expert has provided deposition testimony, courtroom testimony, and litigation consultation for more than 15 years and has been retained in numerous matters involving fiduciary duties, suitability, due diligence, and regulatory compliance.

Their expertise includes broker-dealer and registered investment advisor compliance, duties of brokers and advisors, SEC Regulation Best Interest, Department of Labor ERISA rules, fiduciary standards, senior investor protections, supervision, and suitability. They have written supervisory procedures for broker-dealers and advisory firms for over 35 years, designed and implemented firm-wide compliance systems, and conducted extensive compliance training and meetings for financial professionals. This work supports analysis of policies, procedures, and supervisory systems, as well as regulatory adherence in disputes involving advisor conduct, institutional oversight, and financial product recommendations.

Their professional background includes ongoing consulting and expert services for financial institutions and regulators. The expert has been retained by the SEC, FINRA, and state regulators in connection with investigations and enforcement actions, as well as by claimants and respondents in hundreds of litigations. Additional involvement includes participation in FINRA arbitration, mediation under New York State judicial guidelines, and fiduciary education initiatives through the Center for Board Certified Fiduciaries, including development of training and curriculum in fiduciary practices and insurance-related topics. The expert holds certifications including Certified Regulatory and Compliance Professional, Global Financial Steward, and Board Certified Fiduciary. Professional licenses include General Securities, General Securities Principal, Municipal Securities Principal, Registered Options Principal, Financial and Operations Principal, and a New York State Life, Health, Disability, and Variable Contracts license. Their educational background includes college attendance and training relevant to financial services and compliance.