Services: Dispute mediation, Case Evaluation, Written Opinions, Testimony, Portfolio evaluation, Damage Calculation, Turn-over analysis, Suitability, Registered Employee vs. brokerage firm disputes, supervision analysis, Industry Rules & practices. Financial Suicide.

Profile: Securities Fraud Examiner; Expertise in all facets of investment and trading in securities and derivatives; Defense & Plaintiff, Domestic & Foreign.

Professional Qualifications: Registrations: S-3 (Commodity Futures), S-7 (General Securities), S-8 (Sales Supervision), S8BM (NYSE Branch Office Manager), S-24 (Securities Principal), S-52 (Municipal), S-63 (State's Blue Sky), all granted 1969 thru 1980.

Professional Experience: Registered Rep. Branch office Manager, Principal, Regional Manager, Executive Vice President (National Securities Firm), Chairman (Trust Company). For details, see website http://firms.findlaw.com/Pfeffer.

Licenses: S-3 (Commodity futures & Options)
S-7 (General Securities)
S-8 (Sales Supervision)
S-8BM (NYSE Branch Office Manager)
S-24 (Securities Principal)
S-52 (Municipal Securities)
S-63 (State Blue Sky)
All granted 1969 - 1980

Professional Affiliations: See website

Education: University of Wisconsin-Economics

Cases: Arbitrator or Expert testimony: AAA, NASD, Exchanges, NFA, Appellate Panelist, Federal Reparations Proceedings; Federal and State jury and bench trials since late '70's.

Publications: Investment/trading research, Compliance and operations manuals.

Teaching: Trained over 500 securities and derivative brokers. Guest lecturer on Capital formation and central markets. Instructed key employees of major Japanese and Korean financial Institutions in year-long course in trading of capital and derivative markets-real-time trading of employer-funded accounts.

References: Available from attorneys of prior cases.

Areas of Expertise: securities fraud, day trading, securities arbitration, churning, currency trading, derivatives, futures, NASD regulations, securities arbitration, investment fraud, stock market, commodities, damage calculations, employee disputes, investments, options, securities regulations, mediation practice, variable annuities, and annuities.

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