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 346 arbitrations (700+ retentions) before FINRA/NASD/AAA/NYSE/PSE with 90 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, hedge funds, 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, 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. . Volume 21 No. 2 - 2014 A checklist for reasonable due diligence, the scorecard.

 

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 1999 to the present, the firm has added an emphasis upon expert witness activities, with 9 arbitrator assignments 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

 

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

 

- 8/2011 - Present - Silber Bennett Financial, Inc. - Registered Principal - Due Diligence and Compliance Consultant

 

 

 

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

 

Securities Expert Witness (FEND's Most Popular Service)

 

REFERENCES

Paul W. Thomas*

Attorney 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

 

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

 

Brian Miller

Attorney at Law

San Diego, CA

(619) 696-5200

 

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

 

Ben Ballard

Attorney at Law

Larkspur, CA

(415) 781-3500

 

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 & Paul Reynolds

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