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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


Kenneth J. Catanzarite
Attorney at Law.
Anaheim, CA.
(714) 520-5544


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


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


Mark P. Lynch
Attorney at law
Los Angeles, CA.
(310) 713-7155


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: (925) 999-9877
FAX: (310) 649-3663
Email: tremase@comcast.net

Securities Litigation Expert (Attorney References)

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