BUSINESS SPECIALTY

Expert witness/Consultant in arbitration/litigation involving securities, insurance and  annuities, nationwide.  Testifying in 397arbitrations (900+ retentions) before FINRA/NASD/AAA/NYSE/PSE with 100+ mediations in AK, CA, OR, AZ, HI, ID, TX, IL, KS, KY, LA, MA, MI, MO, NC, 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, San Diego and Orange County State Courts plus Los Angeles Federal Court as well 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, elder abuse, senior exploitation, 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, elder abuse, 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.

Securities Licenses held:  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

CA State Bar:  Designated Securities Expert Witness

FindLaw.com, SEAK, Inc. Securities Experts’ Roundtable, Forensis Group, Ca-Experts.com , Infofaq.com, Thomson Reuters (Refinitive), HG Experts.com.

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”.  In 2023. I became a member of the Practice Management Committee of the Securities Experts Roundtable.  

 BUSINESS EXPERIENCE

 Carlsberg Securities Corporation – 1969-1982

– V.P. Marketing – Securities – Insurance – R/E syndication – Branch Manager – Member Bd. of Directors

– Registered Principal Due Diligence and Compliance Director

Westfield Capital Corporation – 1982-1986

– V.P. Marketing – Securities – R/E syndication – Branch Manager, Due Diligence & Compliance

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 Asset Management 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 – 12/2018 – Silber Bennett Financial, Inc.- Home Office Supervisor/Reg. Principal – Due Diligence & Director of Advertising Compliance

-12-28-18 – 10-20-2020- FEND (Financial Education Network Development) Securities Expert Witness and FINRA Industry Arbitrator

– 10-20-2020 -12-31-2021 – LightPath Capital, Inc. – Registered Principal – Outside Business Activities Compliance.  I voluntarily terminated my employment 12-31-2021 due to the Co.’s hiring a full-time Compliance Officer.  

  01-01-2022 – Present – Securities Expert Witness through FEND – Financial Education Network Development

Commercial Banking

 Bank of America – 1959-1965 – Asst. VP – Corporate Finance – National Division (approval of loans $500K+)

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 Securities Co. and Promontory Capital Corp. to market and wholesale their sponsored products.

Hanna Elisha
Attorney at law
Long Beach CA
(562) 353-4555

Bob Rosen &  John Wallace**
Rosen & Associates,, P.C.
Los Angeles, CA
(818) 516-8489

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

Diane Palumbo
Palumbo Bergstrum LLP 
Aliso Viejo, CA

(949) 442-0100 

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

Michele L. McGill
Attorney at Law
San Francisco, CA
(415) 334-8080