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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

Securities Expert Witness (FEND's Most Popular Service)

 

REFERENCES

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.

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

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

 

 

 

 

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

Fend Securities Expert Witness
Telephone: (310)641-0377
FAX: (310)649-3663
Email: fendmase@ca.rr.com 

© 2008 Fend Securities Expert Witness in Arbitration

Securities Expert