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Broker-Dealer

Overview

With offices in San Diego, Los Angeles and San Francisco, Jacko Law Group, PC provides expert witness services across California and nationwide. Our attorneys combine in-depth knowledge of the securities and investment industries with well-honed presentation skills. Their credibility and knowledge are essential assets in high-stakes litigation and arbitration.

BROKER-DEALER EXPERT- DAVID M. SOBEL, FINRA SPECIALIST

David M. Sobel plays a key role in cases related to FINRA examinations and investigations. He has extensive experience in securities litigation and alternative dispute resolution, broker-dealer compliance issues, and enforcement cases at the New York Stock Exchange (NYSE), AMEX, Securities and Exchange Commission (SEC) and FINRA.

His career experience includes:

  • FINRA arbitrator and Enforcement Hearing Panelist
  • Former chairman of the FINRA Small Firm Advisory Board
  • Two term FINRA District 10 Committee Member
  • Executive vice president, general counsel and chief compliance officer at Abel/Noser Corp, a FINRA/NYSE member broker-dealer for over 10 years
  • Floor broker at the New York Stock Exchange for nearly a decade
  • President of his own NYSE member firm, Ampro Securities, Inc
  • Senior equity trader/market maker for Trimark Securities
  • Former chairman of the National Association of Independent Broker-Dealers (NAIBD)
  • Former board member of the National Society of Compliance Professionals (NSCP)
  • Featured in professional publications such as Compliance Reporter, Traders Magazine, Dow Jones Newswireand Institutional Investor News
  • Speaker at national industry conferences, including those by FINRA, NSCP, NAIBD, the Strategy Institute and the National Regulatory Services (NRS)
  • Author of "Your Relationship with FINRA," a chapter featured in the publication Modern Compliance Best Practices for Securities & Finance and Editorial Advisory Board member of the same.

For more information about our expert witness services or our lawyers, call Jacko Law Group PC at 619.298.2880 or contact us online.

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