• 15 years NASD (FINRA) Arbitrator, including Chair qualification and experience

• 28 years as a branch office supervisor overseeing the activities of up to 91 advisors in offices in three states

• Engaged as Expert on over 200 matters since 2009 by FINRA panels and state courts

• Accepted as Expert and testified in 35 cases

• Served on the NASD District Business Conduct Committee, District 5

• Direct experience with current industry issues

• Served twice as panelist on branch office supervision at SIACL (SIFMA) national meetings

• Served as panelists on branch office supervision at regional NASD meeting