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Investment, Finance, Securities Expert #14111

I have 27 years of experience, and specialize in the field of regulatory compliance for securities firms with specific knowledge in the areas of Securities and Exchange Commission and the Financial Industry Regulatory Authority compliance programs, regulatory examinations and investigative litigation support. I have published on such topics as Securities and Exchange Commission independent consultant reports, expert witness reports and declarations and affidavits. I have testified on Securities and Exchange Commission and the Financial Industry Regulatory Authority supervision, mutual funds and wrongful termination, supervision and suitability.

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