Expertise Overview

  • AV Rated
  • Only Florida Bar member to be both an Securities and Exchange Commission ('SEC") and the Director of the Florida Division of Securities
  • Expert Witness
  • Legislative Activity
  • Transactional Documents

Securities Credentials Florida Bar Membership - Securities Designation

Member of Florida Bar since 1973; Designation in Securities Law, 1976 - 1996. (The Florida Bar's "Designation of Practice" program was discontinued in 1996 and a Securities Certification program has never been implemented.).
Regulatory Employment
Director, Division of Securities and Investor Protection; Department of Banking and Finance, State of Florida, 1975 - 1977
Trial Attorney (Finance), U.S. Securities and Exchange Commission 1973 - 1975.
Martindale-Hubbell Rating
Legal Ability - "A" (Very High to Preeminent); General Recommendation - "V" (Very High)
Securities Legislation Activity - Advisor/Liason Appointments and Offices: Memberships
Member, Board of Governors, Florida Securities Dealers Association (1987-1989 and 1998 - 2002)
 
Trustee/Director - ABT Family of Funds (1981 - 1991) - Appointment "Confirmed" by U.S. Securities and Exchange Commission (The ABT Family of Funds was sold to an affiliate of First Union National Bank in 1995)
 
Member (Counsel) - Securities industry Association ("SIA") Compliance & Legal Division (1994 - Present)
 
Member - Public Investors' Arbitration Bar Association ("PIABA") 2002 -
 
Liaison to the Florida Division of Securities from the American Bar Association's Section of Business Law's Committee on the State Regulation of Securities (1981 - Present). Chair, Sub-Committee on Liaison with Securities Administrators and NASD (2003 -)
 
Member of the Executive Council, and Vice-Chairman, Securities Committee: Florida Bar Banking and Business Law Section, 1985-1986. Vice-Chair, Corporations, Securities and Financial Services Committee, and Executive Council Member (June 2003 - )
 
Member, Comptroller's Securities Law Advisory Council (1978 - 1984)
 
Hearing Examiner: Florida Department of Banking and Finance (1977 - 1979)
 
Former Vice-President, Secretary-Treasurer, and State Governor - Real Estate Securities Syndication Institute ("RESSI") - Florida Chapter
Publications
"The Florida Sale of Securities Law" (a chapter in "Florida and Federal Securities Regulation - Second Edition - 1979"), a Florida Bar publication (cited by the Florida Supreme Court in Skurnick v. Ainsworth 591 So2d. 904, 907 Fla. 1991)
 
Co-Author of the following Florida Bar Journal articles: "The Florida Investor Protection Act: Florida Bucks the Trend" 58 FL.B.J. 73 (1985); "Securities Regulation in Florida: A New Look" 52 Fla. B.J. 803 (1978); "Florida's New Corporate Takeover Act: The Stampede Continues" 51 Fla. B.J. 633 (1977). Author of numerous articles for the Florida Association of Securities Dealers' Newsletter; the Florida Association of Realtors; the "RESSI" Newsletter; and Similar publications.
Expert Witness
Testified (or retained) as expert witness (1978 - Present) in matters of securities regulation, for private litigants, the Florida Department of Banking and Finance, the Florida Department of Insurance and the Florida Attorney General, in state and federal courts, and before arbitration panels. Topics have included issues involving Florida licensing; definition of a "security"; attorney responsibility; defamation; statutes of limitations; due diligence; and investment advisors.
Lectures
Lecturer on Securities Law, Florida Bar Continuing Legal Education, 1977 - 1981; 1989. Guest Lecturer on Securities regulation: Florida State University College of Law; University of Central Florida; Talahassee Bar Association; and Orange County (FL) Bar Association.