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BUSINESS SPECIALTY
MASON A. DINEHART III, RFC
(310) 641-0377
fendmase@ca.rr.com
Expert witness/Consultant in arbitration/litigation involving securities,
insurance and annuities,
nationwide. Testifying in 270 arbitrations (600+ retentions) before FINRA/NASD/AAA/NYSE/PSE with
54 mediations in AK, CA, OR, AZ, HI, ID, TX, IL, KS, KY, LA, MA, MI, MO, NM, NV, OH, NY, GA, TN, 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, hedge funds, REITS,
TIC's, sub-prime mtges., options, CMO'S, REMICS,
TINTS, auction-rate, mortgage backed securities &
Rule 144 private stock offerings, private securities, 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/ asset allocation, 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.
Series 7, 24 , 27*, 63, 65, 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. Pro/Counsel, TASA,
Forensis Group, Ca-Experts.com ,
Infofaq.com, Exify.com,
YahooB2BLaw
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 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. .
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 Director - Full service financial planning broker/dealer
- Chairman of due diligence committee, licensing and marketing compliance
officer for 200 registered representatives.
- President - Registered Investment Advisor & Director of Recruiting
Financial Education
Network Development
- 1990-2001 - Owner & founder of a financial planning firm providing
educational. retirement. financial. planning seminars for corps.,
nationally. From
1991 to the present, the firm has added an emphasis upon expert witness activities,
with 9 arbitrator assignments since 1999 and 3 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
Commercial Banking
Bank of America - 1959-1965 -
AVP - 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
REFERENCES
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Paul W. Thomas & Neda
Ataie*
Attorney's at Law.
Carlsbad, CA..
(760) 720-9600
Scott Kolod, Darlene Kowalczyk**
Kolod - Wager, Atty's.
Escondido, CA..
(760) 480-8100
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
Paul S. Gerding
Kutak Rock LLP
Scottsdale, AZ.
(480) 429-5000
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
(800) 499-8444
AdamSaper**
Atty.at Law
Chicago,IL
(312) 704-2000
* Respondent's counsel as well as
claimant's.
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Alton
Burkhalter
Burkhalter Kessler Goodman & George LLP
Irvine, CA.
(949) 975-7500
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
Avi Wagner*
The Wagner Firm
Century City, CA
(310) 491-7949, Ext. 1
James B. Betts
Betts & Wright
Fresno, CA
(559) 438-8500
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
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William Kircher
Attorney at Law
Orange County, CA
(949) 474-2310
Daniel Quisenberry
Chan Law Group LLP
Los Angeles, CA
(213) 225-2607
Edward Russey III (Punitives)*
Attorney at Law
Irvine, CA
(949) 770-7004
Robert S. Fink
Attorney at Law
Beverly Hills, CA
(323) 653-3030
Eldon F. Holl, CPA
Holl, Bischoff & Bechoff LLP**
Los Angeles, CA
(310) 873-1675
Scott Bernstein
Attorney at Law
Sacramento, CA
(916) 933-2355
Rosemary Shockman (Past
Pres. PIABA)
Attorney at Law
Scottsdale, AZ
(602) 596-1986
James Mayer
Mediator
La Jolla, CA
(858) 551-5525
Bo Phillips
Reed Smith LLP
Los Angeles, CA
(213) 457-8311
Robert E. Goodman, Jr. &
James Francis
Francis Goodman PLLC
Dallas, TX
(214) 368-1765
Kerry M. Kinney
Attorney at Law
Agoura Hills, CA
(818) 991-5102
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
Attorney 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
Ken Wood
Attorney at Law
San Diego, CA
(619) 239-1901
Angela Bedford
Attorney at law
Houston, TX
(832) 875-6232
Marshall S Brenner**
Gordon & Rees LLP
San Diego, CA
(619) 696-6700
Dana Taylor
Duffy Kekel, LLP
Portland, OR
(503) 226-3574
Robert M. Moss
Attorney at Law
Santa Monica, CA
(310) 260-7650
Larry Hoellworth **
Attorney for Lloyds of London
Chicago, Il
(312) 431-3630
Christopher J. Slottee
Atkinson, Conway & Gagnon, Inc.
Anchorage, AK
(907) 276-1700
Joe Meyer
Mediator and Arbitrator - FINRA
Orlando, FL
(386) 677-8642
Edgar R. Nield
Attorney at Law
San Diego, CA
(858) 552-6745
Michael J. Abbott**
Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P.
Los Angeles, CA
(213) 485-1555, Ext. 215
Mark L. Godino
Glancy Binkow & Goldberg LLP
Los Angeles, CA
(310)201-9150
** Respondent or Respondent's Counsel
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William Bonnheim
Attorney at Law
Indian Wells, CA
(760) 772-9696
Steven Feder
Attorney at Law
Denver, CO 80202
(303) 221-5599
Sally Corbat, Senior Counsel
**
Lincoln Financial Group
Fort Wayne, IN
(260) 455-4548
Nicholas P. Iavarone
SimmonsCooper LLC
Chicago, IL
(312) 759-7504
Bert Levy
Mediator
Beverly Hills, CA
(310) 273-4140
Cory Chartrand
Triebach, Frampton, Dorius & Lima
Turlock, CA
(209) 667-2300
Kenan Oldham
Mediator
Irvine, CA
(949) 495-2788
Montgomery C. Griffin, J.D.
Arbitrator & Attorney at Law
Newport Beach, CA
(949) 721-9781
Jared R.B. Hutton
Attorney at Law
Los Angeles, CA
(310) 258-9441
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 90067
(310) 572-0900
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
Patrick Keegan
Attorney at Law
San Diego, CA
(858) 552-6750
Salim Turk
Attorney at Law
Los Angeles, CA 90025
(310) 442-4850
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
William Winfield
Attorney at Law
Oxnard, CA
(805) 988-8326
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Fend Securities Expert Witness
Telephone:
(310)641-0377
FAX: (310)649-3663
Email: fendmase@ca.rr.com
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