FEND Securities Expert Witness
5529 Bedford Avenue Los Angeles, CA 90056
3106493663 fendmase@ca.rr.com FEND Securities Expert Witness
Mason Alan Dinehart III Arbitrator - FEND Securities Expert Witness

BUSINESS SPECIALTY

 

Expert witness/Consultant in arbitration/litigation involving securities, insurance and  annuities, nationwide.  Testifying in 356 arbitrations (700+ retentions) before FINRA/NASD/AAA/NYSE/PSE with 98 mediations in AK, CA, OR, AZ, HI, ID, TX, IL, KS, KY, LA, MA, MI, MO, NM, NV, OH, NY, GA, TN, UT, WA , WV & FL. (No charge for non-stop air flight time).  Mr. Dinehart, RFC,  has qualified and  testified as a Securities Industry Expert before the Los Angeles, Fresno and Orange County State Courts plus as an Insurance Industry Expert before the State Court of Nevada and serves as a FINRA arbitrator.  Services are provided for both claimants (65%) and respondents(35%).

 

AREAS OF STRENGTH

 

Common/preferred  stocks, corporate, municipal and junk bonds, IPO’s, mutual funds, variable/equity-index annuities, life insurance/VUL, L.P.’s, private placements, REITS, TIC's, sub-prime mtges., options, CMO'S, REMICS, auction-rate, mortgage backed securities & Rule 144  private stock offerings, private securities, reverse convertibles & other structured products and IRS 72(t) problems.   P&L's/damage calculations provided.  Testifying as to suitability, fiduciary duty, due diligence, underwriting & supervision, overreaching, churning, "selling away", over-concentration, unsuitable asset allocation, intentional and negligent misrepresentation, promissory fraud, modern portfolio theory analysis, standard deviation, Sharpe ratio, stock manipulation, best execution, margin,  mark-ups &-mark-downs, on-line trading, employee termination disputes, RIA activities, control person liability, “financial suicide”, reverse churning, 401-K administrator and trustee responsibilities,  standard-of-care, industry custom and practice plus compliance.

 

PROFESSIONAL LICENSES

 

MEMBER, FINRA. BOARD OF ARBITRATORS #A30388 - Panel Chairman - NASD # 99-03001-April '00.

Silber Bennett Financial, Inc. - Series 7, 24 , 27*, 63, 65, 79, 99 - life ins.& var. contracts  (CA #0643601), real estate*  *previously held

 

EDUCATION

 

California State College at Los Angeles (B/A - Speech & Communication)

American Institute of Banking School of Finance & Taxation - Graduate - Los Angeles District Chapter

 

AFFILIATIONS

 

FindLaw.com, Jurispro.com., Securities Experts' Roundtable , Forensis Group, Ca-Experts.com , Infofaq.com, Thomson Reuters (TREWS)

Practising Law Institute - Panelist, Marketing Compliance - 1972 -  R/E Syndication; Money Magazine - January, 2006

Panelist & Speaker-Annual Seminar for Securities Brokers 2000-2003, sponsored by  Registered  Representative Magazine and On Wall Street magazines; Speaker-Panelist & Article,  PIABA Conventions, 10 '03 & 2 '04; KFWB Radio, November, 2003.    Member - Society of Industry Leaders; Int'l Assn. of Registered Financial Consultants (IARFC),  AAII, Palos Verdes Tennis Club; Life Member - American Institute of Banking - Pasadena Dist. Chapter (AIB), & Adjunct Faculty Member - Round Table Group. FINRA  Licensed Professionals; Broker Dealer Lawyers Practice Group; Securities Litigation Enforcement Group.  Published Articles - expertlaw.com - 2004;  PIABA Bar Journal Volume 14  No. 3 -  Fall 2007 -  "Violations of High Standards of Commercial Honor and Just and Equitable Principles of Trade".- Page 6; Real Estate Review - Fall 1972; The Register (IARFC) Summer 2002, The Advisors Network, Winter 2002; Article - National Underwriter Life and Health - 10-25- 2010, Page 17; .PIABA Bar Journal -  Volume 21, No. 2 - 2014  - "A Checklist for Reasonable Due Diligence, The Scorecard";  PIABA Bar Journal;

Volume 24, No. 4 - 2017 - "The Challenge of Due Diligence of a Variable Annuity - The Scorecard Method".

 

BUSINESS EXPERIENCE

 

Securities

 

Carlsberg Securities Corporation - 1969-1982

- V.P. Marketing - Securities - Insurance - R/E syndication - Branch Manager - Member Bd. of Directors

Westfield Capital Corporation - 1982-1986

- V.P. Marketing - Securities - R/E syndication - Branch Manager

Boardwalk Capital Corporation - 1987-1990* - Acting Branch Manager

- National Sales Directo/Recruiting - Full service financial planning broker/dealer

- Chairman of due diligence committee, licensing and marketing compliance officer for 200 registered representatives.

- President - Registered Investment Advisor- Boardwalk Aset Managemenn Corp. 

Financial Education Network Development

- 1990-2001 - Owner & founder of a financial planning firm providing educational. retirement. financial. planning seminars for corps., nationally.  From 1999 to the present, the firm has added an emphasis upon expert witness activities, with 10 arbitrator assignments and 4 awards.

 

- 1991-1999 - Eric Equities, Inc. - Securities, Annuities & Insurance - Branch Supervisor

 

- 1999 -2000 - Locust Street Securities -Insurance and Annuity Sales

 

- 1/2001- 1-14-2010 - Empire Securities Corporation - Home Office Principal & Director of Advertising Compliance

 

- 2010 - 7-31-2011 - American Independent Securities Group, LLC - Registered Principal-Compliance Consultant-Due Diligence

 

- 8/2011 - Present - Silber Bennett Financial, Inc.- Home Office Supervisor/Reg. Principal - Due Diligence & Director of Advertising Compliance

 

 

 

 

Commercial Banking

 

Bank of America - 1959-1965 - Asst. VP - Corporate Finance – National Division

Union  Bank - 1965-1969 - VP - Manager of Business Development - So. California.

 

Taxes & Insurance

 

L. E. Cooper & Associates 1959-1965 - Tax Accountant

Carlsberg Insurance Agency - 1975-1982 - President

 

*  During the period 02/1990 - 04/1990, I was dually licensed with Nilcorp Securitites Co. and Promontary Capital Corp. to market and wholesale their spoonsored products. 

 

Securities Expert Witness (FEND's Most Popular Service)

 

REFERENCES

Paul W. Thomas*

Attorney at Law.

Carlsbad, CA..

(760) 720-9600

 

Joe Maher

Attorney at Law.

Los Angeles, CA..

(310) 689-6483

 

Erwin J. Shustak & Thomas C. Frost

Shustak & Partners

San Diego, CA.

(619) 696-9500

 

Steven Joffe/David Kremenetsky**

Wilson, Elser, Moskowitz, Edelman & Dicker LLP

Los Angeles, CA 90017.

(213) 443-5100

 

Joshua R. Furman

Attorney at Law

Beverly Hills, CA.

(310) 809-3016

 

Albert "Chip" Cressey, III**

Reback, McAndrews & Kjar, LLP

Manhattan Beach, CA 90266

(310) 297-9900

 

Michael Blumenfeld*

Freeman, Freeman & Smiley, LLP

Los Angeles, CA.

(310) 255-6102

 

Tracy Pride Stoneman, P.C.

Attorney at Law

Colorado Springs, CO

(719) 783-0303

 

Joseph S. Fogel

Attorney at law

Sherman Oaks, CA

(818) 401-5090

 

AdamSaper**

Atty.at Law

Chicago,IL

(312) 704-2000

 

 

*  Respondent's counsel as well as claimant's.

 

Eric D. Bennett

Attorney at Law

Los Angeles, CA

(310) 442-4650

 

Daniel Quisenberry

Kirtland & Packard LLP

El Segundo, CA

(310) 536-1000

 

Edward Russey III (Punitives)*

Attorney at Law

Irvine, CA

(949) 770-7004

 

Steve Thornton

Compliance Consultant

No. Hollywood, CA

(818) 342-0201

 

Scott Bernstein

Attorney at Law

Sacramento, CA

(916) 933-2355

 

Rosemary Shockman (Past Pres. PIABA)

Attorney at Law

Scottsdale, AZ

(602) 596-1986

 

Ed & Josh Sisam

Attorney at Law

Dallas, TX

(612) 730-6799

 

Bo Phillips

Reed Smith LLP

Los Angeles, CA

(213) 457-8311

 

Alan R, Polsky.

Attorney at Law

Los Angeles, CA

(310) 312-8181

 

Mathew Yackshaw

DayKetterer

Canton, OH

(303) 455-2633

 

David Liebrader (Punitives)

Attorney at Law

Las Vegas, NV

(702) 380-3131

 

Aidikoff, Uhl & Bakhtiari

Attorney's at Law

Beverly Hills, CA

(310) 274-0666

 

Jonathan W. Evans & Mike Edmiston

Attorney's at Law

Studio City, CA

(818) 760-9880

 

Kyle E. Lakin

Attorney at Law

Carlsbad, CA

(858) 779-1552

 

Jeff Rose**

Financial West Group

Westlake Village, CA

(805) 497-9222, Ext. 192

 

Richard M. Layne

Attorney at Law

Portland, OR

(503) 295-1882

 

Marc G. Reich

Reich Radcliffe & Kuttler LLP

Orange County, CA

(949) 975-0514

 

Paul Bauducco

Leritt Hackman

Encino, CA

((818) 907-3245

 

Dana Taylor

Duffy Kekel, LLP

Portland, OR

(503) 226-3574

 

Marc I. Zussman

Attorney at Law

Los Angeles, CA

(310) 525-3516

 

Marc Selden Rosen, P.A.

Attorney at Law

Baltimore, MD

(410) 244-1155

 

Thomas S. Reavely

Whitfield & Eddy P.L.C..

Des Moines, IA

(515)246-5519

 

Joe Meyer

Mediator and Arbitrator - FINRA

Orlando, FL

(386) 677-8642

 

Edgar R. Nield

Attorney at Law

San Diego, CA

(858) 552-6745

 

Robert  H Logan

Mediator

Palos Verdes Peninsula, CA

(310)487-8847

 

Kalju (Kal) Nekvasil

Attorney at Law

Clearwater, FL

(727) 524-8486

 

Richard H. Gordon

Attorney at Law

Beverly Hills, CA

(310) 962-1267

 

Steven Buchwalter

Attorney at Law

Encino, CA

(818) 501-8987

 

Gary D. Greenwald

Keller Rohrback P.L.C.

Phoenix, AZ

(602) 230-6326

 

Scott I. Batterman

Attorney at Law

Honolulu, HI

(808) 535-8400

 

Jeffrey Swanson

 Attorney at Law

 Redding, CA

 (530) 225-8773

 

 Shannon L. McDougald

 McDougald & Cohen, P.S.

 Seattle, WA

 (206) 448-4800

 

Joe Wojciechowski

Stoltmann Law Offices, P.C.

Chicago, IL

(312)332-4200

 

 

 

William Winfield

Attorney at law

Oxnard, Ca

(805) 988-8326

 

Michael Yoder & Molly Magnuson**

O' Melveny & Myers.

Newport Beach, CA

(949) 823-7936

 

Daniel W. Dunbar

Attorney at law

Torrance, CA.

(310) 792-0668

 

Paul M. Yacyshyn, V.P. Assoc. Gen'l. Counsel**

AXA Equitable Life Insurance Company

New York, NY

(212) 314-5426

 

Alan C. Friedberg

Pendleton Friedberg Wilson & Hennessey P.C.

Denver, CO

(303) 839-1204

 

Robert Baskin*

Attorney's at Law

Ventura, CA.

(805) 658-8200

 

Reid W. Lambert

Woodbury & Kessler

Salt Lake City, UT

(801) 364-1100

 

David Crochetiere

Baute Crochetiere & Maloney LLP

Los Angeles, CA

(213) 630-5000

 

Steven B. Caruso*

Maddox, Hargett & Caruso, P.C.

New York, New York

(212) 837-7908

 

Sam Bregman

Attorney at Law

Albuquerque, NM

(505) 761-5700

 

Martin Mushkin, Atty. at Law

Stamford, CT

(203) 252-2357

 

Nathan Wirtschafter

Attorney at Law

Encino, CA

(818) 660-2518

 

Steven Feder

Attorney at Law

Denver, CO 80202

(303) 221-5599

 

Sally Corbat, Senior Counsel **

Lincoln Financial Group

Fort Wayne, IN

(260) 455-4548

 

Bert Levy

Mediator

Beverly Hills, CA

(310) 273-4140

 

Cory Chartrand

Triebach, Frampton, Dorius & Lima

Turlock, CA

(209) 667-2300

 

Gregory S. Hood

Attorney

Carlsbad, CA

(760) 438-4590

 

Montgomery C. Griffin, J.D.

Arbitrator & Attorney at Law

Newport Beach, CA

(949) 721-9781

 

Mark Anchor Albert

Attorney at Law

Los Angeles, CA

(213) 687-1515

 

Mitchell S. Ostwald

Attorney at Law

Sacramento, CA

(916) 641-4545

 

John Guerrini

The Guerrini Law Firm

Pasadena, CA

(626) 229-9611

 

J. Ryan Mitchell

Mitchell & Barlow

Salt Lake City, UT

(801) 365-2040

 

M. Steven Coontz

Coontz & Matthews LLP

San Juan Capistrano, CA

(949) 240-3040

 

Brian Harrison

Attorney at Law

Provo, UT, 84604

(801) 375-7700

 

Anthony Liberatore

Attorney at Law

Los Angeles, CA 90064

(310) 405-0231

 

Thomas Krueger**

Financial West Group

Westlake Village, CA

(805) 497-9222, Ext. 111

 

Phillip Koehnke**

Attorney at Law

(858) 229-8116

(Formerly Pres. Tradeway Securities)

 

Natalie Vance**

Klinedinst, Fliehman & McKillop, P.C.

San Diego, CA

(619) 239-8131, Ext. 238

 

Valerie F. Horn

Attorney at Law

Los Angeles, CA

(310) 888-8494

 

Kenneth Bohnert & Richard Sullivan

Conliffe, Sandmann & Sullivan

Louisville, KY

(502) 587-7711

 

Ed Gelfand & Ed Gartenberg

Attorney's at Law

Los Angeles, CA

(213) 542-2121

 

Mark Fitapelli

Fitapelli/Kurta

New York, NY

(212) 658-1501

 

E. Thomas Maroney

Attorney at Law

Hawthorne. CA

(310) 791-9732

 

Jonathan A. Michaels

Michaels Law Group

Laguna Hills, CA

(949) 581-6904

 

Doug Thornton

Motschiedler, Michaelides & Wilshon, LLP

Fresno, CA

(559) 439-4000

 

Morse Taylor

Attorney at Law

Westlake Village, CA

(818) 735-9560

 

John Kunuth

Attorney at Law

Irvine, CA

(949) 472-6000

 

Ed McIntyre

Solomon Ward Seidenwurm & Smith, LLP

San Diego, CA

(619) 231-0303

 

Kamyar Shayan

Attorney at Law

Los Angeles, CA

(213) 689-0899

 

Gary Wayne Burger

Attorney at Law

Borrego Springs, CA

(760) 767-0032

 

Chris Youtz

Attorney at Law

Seattle, WA

(206) 223-0303

 

W. Scott Greco

Attorney at Law

McLean, VA

(703) 893-9377

 

 Michele L. McGill

 Attorney at Law

 San Francisco, CA

 (415) 334-8080

 

Diane Palumbo

Palumbo Bergstrum LLP

 Aliso Viejo, CA

(949) 442-0300

 

 

 

 

 

 

FEND - Securities Expert Witness

Telephone: (310)641-0377

FAX: (310)649-3663

Email: fendmase@ca.rr.com or tremase@fend.com

 

© 2018 Fend Securities Expert Witness