Fend Member Bio
Member Bio
We provide a cost effective and expedited way to assist investors who have been harmed or defrauded in securities, insurance or annuity matters to recover their unjustified losses. We provide legitimate brokerage firms and financial advisors a strong defense against unjustified claims from sophisticated investors with unjustified claims. After 40 years in the financial services community, expert witnessing and arbitrating became a perfect theater to excel in, utilizing all the attributes that education and experience can bring to bear. I have testified and been qualified as a securities expert witness in the CA State Courts in L.A., Orange County and Fresno. I have testified and been qualified as an insurance industry expert in the Nevada State Court. I have testified in 258 arbitrations before FNRA, NASD, AAA, NYSE, JAMS and the Pacific Stock Exchange. 229 of those arbitrations resulted in a positive award for claimant while 29 did not. I currently hold the position of Home Office Principal and Director of Advertising for Empire Securities of California, the oldest Broker Dealer with offices in Los Angeles (Universal City, CA)
Education
Bachelor of Arts - Speech & Communication - Cal. State L.A.Graduate Certificate - Finance and Taxation - American Institute of Banking
Licenses
Current - Series 7, 24, 63 & 65; Life and Disability; Variable ContractsHeld prior - Series 27, Real Estate
Insurance
Errors and OmissionsLocal Affiliations
Life Member - American Institute of BankingRegistered Financial Consultant - IARFC
AAII
Member FINRA Board of Arbitrators
