Securities Investigations, Inc.
|
|
|
9733119
|
Securities Investigations, Inc. |
2626 Route 212
Post Office Box 888
Woodstock, New York 12498
Telephone: 845 679-2300
Facsimile: 845 679-2301
ober@stuartober.com
www.stuartober.com |
|
|
|
STUART A. OBER, CFE, AIFA® |
|
Securities Expert Witness and Consultant |
|
|
|
33 years of experience in securities industry and over 20 years as a
consultant and an expert witness, in |
|
|
-
suitability,
- due diligence and disclosure issues,
- selling away,
- fiduciary responsibilities,
- standard of care,
- fraud,
- real estate takings,
- supervisory and compliance procedures and
- damage calculations.
|
Assisted attorneys in securities-related litigation and arbitration claims,
including violations of NASD, SEC and NYSE rules and regulations and
of professional industry standards. |
|
|
President of Securities Investigations, Inc., a firm specializing in due
diligence investigations and investment research and analysis.
As
manager of Wall Street Tax Investment Departments, provided
investment evaluations, product development and selection, marketing,
training, compliance and supervision. Served as expert, most notably on
behalf of the U.S. Department of the Treasury - Internal Revenue
Service. As a member of the Financial Products Standards Board of the
Institute of Certified Financial Planners, involved in establishment of
industry standards in suitability, mutual funds, life insurance (chairman
of the task force), real estate, oil and gas and equipment leasing. Held
various NASD licenses during tenure on Wall Street, and was a principal
and president of Registered Investment Advisor firm. Accredited
Investment Fiduciary AuditorTM and member of Advisory Panel for the
Accredited Investment FiduciaryTM and Accredited Investment Fiduciary
AuditTM Designation. Arbitrator with the NASD (Chairperson), NYSE,
NFA and AAA and Certified Mediator. |
|
|
|
Conducted expert work for over 100 cases, representing plaintiffs and
defendants. Issues have included suitability, due diligence, fraud,
calculation of damages, selling away, temporary real estate taking, tax
shelter limited partnerships, fiduciary responsibilities, venture capital
compensation, initial public offering allocation and asset allocation. |
|
|
|
Author of Everybody's Guide to Tax Shelters, The Investment and Tax
Shelter Blue Book, "Ober Income Letter" (specializing in real estate and
oil and gas programs), How to Read a Prospectus, How to Evaluate Real
Estate, How to Evaluate Oil & Gas Programs and How to Evaluate
Investment Return. Author, PIABA Bar Journal, "Mastering Prudent
Investment Practices - Step-by-Step Guidelines for Investment
Professional," Spring, 2004. |
|
|
|
EDUCATION |
|
|
Accredited Investment Fiduciary AuditorTM
Katz Graduate School of Business, University of Pittsburgh, Pennsylvania
Master of Business Administration Program (Attended)
City University of New York, New York
Master's Program (Attended)
Sorbonne, University of Paris, France
Bachelor of Arts
Wesleyan University, Connecticut |
|
|
|
|
