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In
Alphabetical Order
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Richard Bequette
After a successful twenty year career in law enforcement,
Mr. Bequette retired as a Commander from the Phoenix Police Department
in 1982 to begin a new career in the securities industry. He has been a
fully registered Series 24 Principal, Options Principal and a licensed
insurance agent.
From 1984 through 2002, Mr. Bequette worked in the securities industry
as a Registered Representative for Merrill Lynch and Rauscher Pierce
Refsnes (Dain Rausher) and served as a Vice President and Compliance
Director for Anchor National (now SunAmerica) and CUE Financial. This
experience encompasses a major wire house, a regional broker dealer, an
insurance affiliated broker dealer and a firm doing business inside
financial institutions such as banks and credit unions, giving him a
uniquely broad perspective on the securities industry.
Mr. Bequette has been an active NASD arbitrator since 1985, serving on
over thirty arbitration panels. He was a member of the NASD District 3
Business Conduct Committee for 2001-2002, and served as its Chairman for
2002, and has participated in several disciplinary hearing panels. Mr.
Bequette was a member of the NASD Small Firm Advisory Board as well as
the National Advisory Panel. |
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Paul Bruce………Annuities,
Insurance Products, Compliance, Auditing
Mr. Bruce brings
nearly 30 years of experience in the financial services industry to the
work he performs as an expert witness, insurance analyst and compliance
consultant. As a fully credentialed actuary (Fellow of the Society of
Actuaries and Member of the American Academy of Actuaries) his in-depth
knowledge of the life insurance and annuity industry and its products
provide a unique perspective on issues related to those products. In his
actuarial career at Provident Life Insurance Company and IDS Life
Insurance Company he designed and priced life insurance and annuity
products and developed and operated compliance programs to supervise the
sale of those products. Mr. Bruce has experience as an expert witness
with a focus on those products.
In his tenure in the industry, Mr. Bruce has also served as an internal
auditor responsible for the marketing and products departments of the
American Express mutual fund complex and its insurance entities, and
served as the head of compliance for that same complex. He has also,
over the past several years, served as the chief compliance officer for
Cap Pro Brokerage Services, Inc., Cap Pro’s affiliated investment
advisory firm and as Cap Pro’s President.
His expertise in litigation began in the late 1990’s when he helped IDS
Life Insurance Company defend itself against a class action lawsuit,
developing analytical theories and tools that carried through the
settlement of the class action and a variety of ensuing mass action
cases. That expertise was later utilized within the company in its
approach to individual lawsuits, particularly those related to insurance
and annuities.
Besides his actuarial credentials, Mr. Bruce is a Certified Internal
Auditor (CIA), a Fellow of the Life Management Institute (FLMI) and is
NASD Series 7 and Series 24 registered. He is a frequent speaker at
industry conferences and has served on a variety of industry committees. |
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Jack
Christensen
Mr. Christensen brings a unique diversification of credentials to the
Investment Analytics team. Mr. Christensen spent 15 years as a
securities regulator with the National Association of Securities Dealers
(NASD) and, during that period, was Director of their offices in
Washington, D.C. and Denver, Colorado. Subsequent to his NASD work, Mr.
Christensen spent 15 years as a principal in broker/dealer and
investment advisory firms. As CEO of his firm, he was involved with
developing clientele, analyzing products, and supervising registered
representatives. Consequently, Mr. Christensen’s knowledgebase not only
encompasses the rules, regulations, securities laws, and the regulatory
apparatus surrounding them, but also a comprehensive understanding of
market operations, their purpose, and how regulatory matters impact
these markets.
Since 1988, Mr. Christensen has consulted for broker/ dealers and
investment advisory firms, for both compliance and supervisory purposes.
Furthermore, he has given support to both plaintiff and respondent
attorneys in arbitrations, NASD/SEC regulatory proceedings, and
litigation, in both state and federal courts involving securities
matters. Finally, he conducted workshops for Indian market makers on
NASDAQ markets as a consultant for the World Bank and the Government of
India.
Mr. Christensen is a graduate of Fordham University and an officer of
the United States Marine Corps. |
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Kevin Carreno
Mr. Carreno has over 20 years of varied experience in financial
services, securities brokerage operations, compliance and management. He
joined Raymond James Financial in 1990 as Associate Corporate Counsel in
the Legal Department. In 1994, Mr. Carreno was appointed Senior Vice
President for Robert Thomas Securities, Inc., a wholly owned subsidiary
of RJF. While at Robert Thomas, he oversaw the operations, compliance,
internal audit and supervision of the brokerage and investment advisory
activities of the firm, which grew from 300 brokers to just over 1200
brokers in five years. In 1999, Robert Thomas was merged with another
wholly owned subsidiary to become Raymond James Financial Services. Mr.
Carreno joined RJFS where he was responsible for the successful
integration of key functions within the merged firm.
In 2000, Mr. Carreno was selected to become the CEO of Raymond James’
start-up venture in the United Kingdom. Mr. Carreno took the initial
business plan concept and built Raymond James Investment Services into
the market leading, independent contractor brokerage firm in the UK. Mr.
Carreno has developed the firm’s systems and key controls, hired a
management team and developed the business from a start-up. At the end
of 2004, the firm had over 70 advisers operating from 31 locations
throughout the UK with over $1 billion in custody.
Since leaving Raymond James, Mr. Carreno has been appointed by the SEC
and NASD to serve as an independent consultant in several enforcement
proceedings. He has directed the successful application for
authorization with the Financial Services Authority (UK regulator) on
behalf of a new investment management firm based in London, and he has
prepared and implemented a start-up business plan for an investment
management firm seeking to expand distribution in Latin America.
Mr. Carreno is a graduate of the United States Air Force Academy with a
Bachelor of Science in Engineering. He is also a graduate of the
University of Denver College of Law. Mr. Carreno is a member of the Bar
in both Colorado and Florida. He holds numerous securities industry
licenses in both the US and UK. Mr. Carreno served in the U.S. Air
Force, both active duty and reserves, before retiring with over 27 years
as a Lieutenant Colonel. |
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Taylor Drake
Mr. Taylor Drake, CFA, is President and Owner of Wealth Strategies
Group, LLC, a registered investment advisory firm specializing in (1)
managing institutional-level portfolios for high net worth individuals
and (2) providing investment consulting services to retirement plans and
other financial advisors.
Mr. Drake’s institutional investment expertise was acquired over a span
of 18 years and includes six years as a Director of Product Development
and Portfolio Manager for a $10 billion investment management firm. He
also developed several mutual funds and managed client assets in excess
of $1 billion. His early career was spent with Mellon Bank in their
Tokyo office as Associate Director of their investment banking team.
Further, he worked closely with Mellon’s investment management
subsidiaries and had responsibilities as Credit Manager for the Tokyo
operation.
In addition to his institutional experience, Mr. Drake has had the
opportunity of analyzing numerous retail products in the marketplace
(annuities, life insurance, etc.) and has extensive understanding of
client suitability.
Mr. Drake’s received his B.A. degree in 1987 from Brigham Young
University in Economics with a minor in Japanese. In 2000 he received
the Chartered Financial Analyst (CFA) designation after completing the
rigorous three-year program. |
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Eddie Horwitz…… Options, Suitability,
Commodities, Compliance
Mr. Horwitz was a stock and commodities broker for 22 years. As a
broker, he specialized in options and in commodity futures. He also had
experience in the compliance area, having served as an ROP, as the
commodities branch manager/co-coordinator for several firms, as the
commodities compliance director for two years at one firm, and as the
securities compliance director for one year at that same firm, Bateman
Eichler Hill Richards, at the home office in Los Angeles.
Mr. Horwitz is one of the founders of the Securities Expert Roundtable
in which he currently serves as a member of the Board of Directors.
During the last 30 years, Mr. Horwitz has functioned as a securities
consultant and expert witness. In that capacity, he has testified on
behalf of brokerage houses (33%) and on behalf of public customers
(66%). He has been retained in approximately 2,000 cases and has
testified in over 500 cases. Geographically, his work has taken him to
26 states. He has testified in state and federal courthouses, and in
various arbitration forums including the NYSE, NASD, CBOE, Pacific Stock
Exchange (PSE), and the NFA. He has also testified many times before the
CFTC (reparations hearings). Eddie has been retained by many agencies in
connection with internal investigations and/or proceedings including:
the SEC, Philadelphia Stock Exchange, PSE and the CBOE. He has also
served as an Arbitrator at the NFA and the PSE. |
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Max Isaacman
Mr. Max Isaacman started his securities career over 40 years ago as a
broker for Merrill Lynch. Since that time he has served as a vice
president for two financial institutions, Bank of California and Lehman
Brothers, has been a partner of a successful brokerage firm, and now
serves as a manager of the institutional department for East/West
Securities in San Francisco, where he is liaison to such groups as Bank
of Ireland Asset Management, Templeton Investors, Schroders, Morgan
Stanley Asset Management, the retirement boards for the City of San
Francisco, New York City and Washington D. C.
Mr. Isaacman has been sharing his wisdom on the securities industry
through many channels. He has had a column in the San Francisco Examiner
entitled Take it From the Pros. McGraw-Hill published two books that he
wrote, How to Be An Index Investor (2000) and The Nasdaq Investor
(2001). On television and radio, Mr. Isaacman has provided commentary
for such programs as CBS MarketWatch, Tech TV and Bloomberg.
Mr. Isaacman is a registered NASD panelist and a member of Forensic
Expert Witness Association. He holds the following licenses: General
Securities Representative, Series 7; Branch Office Manager, Series 8;
Uniform Agent State Law, Series 63; Uniform Investment Advisor Law,
Series 65. |
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David Keogh
Mr. Keogh has worked in the securities industry for 21 years in various
capacities, predominately at Merrill Lynch. As a Vice President with
Merrill Lynch, Mr. Keogh supervised the sales practice activities of
500+ registered representatives at numerous New York City Merrill Lynch
retail sales offices to ensure compliance with regulatory and firm
policies. Frequently, Mr. Keogh analyzed, investigated and negotiated
resolutions to allegations of sales practice violations and assisted
counsel in the preparation of arbitration and regulatory inquiries.
Additionally, as Eastern Sales Division Compliance Officer in the Law &
Compliance Division, Mr. Keogh conducted branch office examinations and
investigations. Mr. Keogh authored or co-authored several Merrill Lynch
sales supervisory policies and procedures. In the capacity of Director
of Compliance at Grayson Financial, Mr. Keogh was responsible for all
CRD registration and pre-hiring requirements for the firm’s registered
representatives.
Mr. Keogh has provided testimony before the NASD, SEC and NYSE, and he
holds the following licenses:
NASD-Series 7 General
Securities Representative
NASD-Series 63 Uniform State
Securities
NASD-Series 4 Registered
Options Principal
NASD-Series 8 NYSE
Branch Office Manager, MSRB Principal, NASD
Securities Principal
NY
Health/Life & Accident Agent License |
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Vincent Miccishe
Mr. Micciche began his career in the financial services industry in 1978
as a career agent at State Mutual Life where he was trained in financial
planning, insurance needs analysis, and the sale of both insurance and
securities products.
In 1983 Mr. Micciche founded Procorp Securities Inc., a full service
broker/dealer and member of NASD and SIPC. As President and Chief
Compliance Officer he was responsible for sales, compliance, operations,
and finance. He subsequently formed the affiliate, Procorp Advisory, a
Registered Investment Advisor. In the ensuing nine years, he grew the
firm and concentrated on the distribution of securities and variable
insurance products in the independent brokerage channel.
In 1994, Procorp Securities joint ventured with a national consortium of
brokerage general agencies to form LifeMark Securities Corp. Mr.
Micciche took the position of CEO and Chief Compliance Officer, which he
currently maintains. During his tenure, the firm grew to a national
broker/dealer with 22 Offices of Supervisory Jurisdiction across the
country serving more than 500 registered representatives. He has, since
its inception, been the NASD Executive Representative of the firm and
its Financial and Operations Principal.
Mr. Micciche has the distinction of earning the NASD’s Certificate for
Regulation and Compliance Professional from the Wharton School at
University of Pennsylvania.
Mr. Micciche holds the following licenses and certificates:
Series 6 Investment Co. and Variable
Contract
Series 7 General Securities
Series 24 General Securities Principal
Series 53 Municipal Securities Principal
Series 4 Registered Options
Principal
Series 27 Financial and Operations
Principal
Life, Health, Disability and Variable Contracts
Approved Instructor - NY State Insurance Continuing Education
Approved Instructor - CFP Ethics |
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Jack Pierce
Mr. Jack Pierce is an experienced expert witness that is able to draw on
over 30 years of retail and institutional securities experience with
several major Wall Street firms, giving him invaluable insight into the
areas of supervision, oversight and suitability.
In 2003, Mr. Pierce retired from Donaldson, Lufkin & Jenrette (now CS
First Boston) where he was the western regional office manager since the
office's inception in 1977. In that capacity, Mr. Pierce grew the San
Francisco office to over 60 brokers and half a billion dollars in
accounts. Most recently, Mr. Pierce has co-authored two books on
investing, Winning With Index Mutual Funds 1997, and J.K. Lasser¹s Pick
Winning Mutual Funds 2001.
Mr. Pierce continues to have his expertise with securities shared with
the public through articles he has written for magazines and journals,
such as a column in the in-flight magazine of Alaska Airlines. Mr.
Pierce is a graduate of University of Pacific and holds a degree in
economics |
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