FEND Securities Expert Witness - Business, marketing and intellectual property expert witness

Based inLos Angeles, California

Main fieldBusiness, marketing and intellectual property

Areas of expertise34 listed

About FEND Securities Expert Witness

FEND Securities Expert Witness is a consultant in litigation and arbitration, nationally (22 states), involving securities, insurance and annuities. 321 arbitrations (700 retentions) since 1969, before NASD, FINRA, JAMS, AAA, NYSE, PSE & 85 mediations. Mr. Dinehart, RFC, is a FINRA Arbitrator and has qualified & testified as a Securities Expert Witness before L.A. Federal Court & State Courts in L.A., Orange County. Fresno & San Diego. Case Track Record - 288 wins/33 Losses. "While I charge for my services, my opinions are not for sale".

Services

FEND, through Mason A. Dinehart III, RFC, provides objective expert opinions on the standard of care in the securities industry, based upon discovery, due diligence, technical knowledge and the four decades of experience he brings to the case. From a long-standing banking background in corporate finance, to underwriting and investment banking experience in financial brokerage, he adds a strong knowledge of modern portfolio theory through the teaching of hundreds of retirement financial planning seminars at the corporate level.

From this vantage point, FEND* provides a refreshing prospective in the securities testifying arena that combines comprehensive analysis with effective communication skills. These factors, along with serving as a FINRA arbitrator and representing both claimant's and respondent's (65%/35%), contribute to a near 90% case success ratio in the securities arbitration & litigation fields.

Litigation Support Services

In 2009, Mr. Dinehart was retained by a plaintiff in a Los Angeles Federal Court action, before the Honorable S. James Otero, United States District Judge. The case was against a broker/investment advisor who sold the plaintiff a multimillion dollar investment position in the Bernard L. Madoff Split Strike Conversion Strategy. In November, 2009, Mr. Dinehart submitted his written report under FRCP Rule 26 (2) (B). Mr. Dinehart submitted his Written Declaration in Opposition to Motion for Summary Judgment. The declaration was accepted by the court and stated that Mr. Dinehart had been retained by Plaintiff as an expert witness pursuant to the terms and conditions of the Federal Rules of Evidence 702 et. seq..

Areas of Expertise

Advertising
Alternative Dispute Resolution
Arbitration
Asset Allocation
Commercial Real Estate
Damages
DPP Programs
Due Diligence
Economic Damages
Economic Losses
Economics
Estates and Trusts

Financial
Financial Analysis
Fraud
Insurance
Insurance Life
Investments
Law Firm Consulting
Litigation
Lost Profits
Marketing
Marketing Research
Real Estate Finance

Records Management
Research
Securities
Securities Fraud
Securities Supervision
Statistics
Stock Options
Stocks
Tic Investments
Variable Annuities

Profile

Mason Alan Dinehart III, RFC
Financial Education Network Development (FEND)

Business Specialty Expert witness/Consultant in arbitration/litigation involving securities, insurance and annuities, nationwide. Testifying in 277 arbitrations (700 retentions) before NASD/AAA/NYSE/PSE with 60+ mediations. (No charge for direct/non-stop air flight time). Mr. Dinehart, RFC, has been qualified and has testified as a Securities Industry Expert Witness before State Courts in CA plus as an Insurance Industry Expert in the State Court of NV and serves as FINRA arbitrator. Services are provided for both claimants -(65%) and respondents (35%).

Areas of Strength Common/preferred stocks, bonds, IPO’s, mutual funds, variable/index annuities, life insurance/VUL's, L.P.s, hedge funds, REITS, TIC's, options, REMICS, TINTS, mortgage backed securities & private stock offerings. P&L;'s and 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, stock manipulation, best execution, margin, options, mark-ups, mark-downs, on-line trading, RIA activities, control person liability, financial suicide, reverse churning, standard-of-care, industry custom and practice plus compliance.

Business Experience Securities Carlsberg Securities Corporation - 1969-1982 - V.P. Marketing - Securities - Insurance - R/E syndication - Branch Manager 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 8 arbitrator assignments since 1999, with one pending and 2 awards. - 1991-1999 - Eric Equities, Inc. - Securities, Annuities & Insurance - Branch Supervisor - 2000 - 2010 - Empire Securities Corp. - Home Office Supervisor/Director of Advertising Compliance - 2010 Present AISG - Compliance Consultant Due Diligence 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