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BUSINESS SPECIALTY
MASON A. DINEHART III, RFC
(310) 641-0377
Expert witness/Consultant in arbitration/litigation involving securities,
insurance and annuities,
nationwide. Testifying in 240 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 an 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, REMICS,
TINTS, auction-rate & mortgage backed securities &
Rule 144 private stock offerings 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 responsibilities, standard-of-care, industry custom and
practice plus compliance.
PROFESSIONAL LICENSES
MEMBER, NASD REGULATION,
INC. BOARD OF ARBITRATORS #A30388 - Panel Chairman - NASD # 99-03001-April
'00.
Empire Securities
Corporation.- 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 Industrial
Leaders; International Assn. of Registered Financial Consultants (IARFC),
AAII, Life
Member - American Institute of Banking - Pasadena District Chapter (AIB), and 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
- 2000 - Present - Empire
Securities Corporation - Home Office Supervisor
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
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 Gerding, Sr.
Attorney at Law
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 & George LLP
Irvine, CA.
(949) 975-7500
John Kunuth
Attorney at Law.
Irvine, CA
(949) 472-6000
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
Joe Coppedge**
Kummer Kaempfer Bonner & Renshaw
Las Vegas, NV
(702) 693-4257
John B. Wallace
Rosen & Associates, P.C.
Los Angeles, CA
(213) 362-1000, Ext. 315
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
Chulak & Shiffman, LLP
Agoura Hills, CA
(818) 991-9019
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
Oakland, CA
(510) 466-6722
Maurice Wainer
Snipper, Wainer &
Markoff
Los Angeles, CA
(310) 557-1905
Kerry M. Kinney
Attorney at Law
Agoura Hills, CA
(818) 991-5102
David Liebrader (Punitives)
Attorney at Law
Las Vegas, MV
(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 Lakin/Tom Schultz
Lopez, Hodes, Restaino,
Milman & Skikos
Newport Beach, CA 92660
(949) 640-8222
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
** Respondent or Respondent's Counsel
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William Bonnheim
Attorney at Law
Indian Wells, CA
(760) 772-9696
Craig Keup
Attorney at Law
San Diego, CA
(619) 285-1100
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
Paul Reynolds**
GrayCary
San Diego, CA
(858) 636-6691
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
Bruce Oakes (Punitives)
Attorney at Law
St. Louis, MO
(314) 853-8761
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
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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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