California State College at Los Angeles (B/A - Speech & Communication) American Institute of Banking School of Finance & Taxation - Graduate - Los Angeles District Chapter
MEMBER, FINRA REGULATION, INC. 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. & variable contracts, real estate*. *previously held
Common/preferred stocks, bonds, IPO’s, mutual funds, variable/fixed index annuities, life insurance/VUL's, L.P.’s, LLC’s, hedge funds, REITS, TIC's, options, REMICS, 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.
Welcome to FEND
FEND, through Mason A. Dinehart III, RFC, provides objective expert witness opinions on the standard of care in the securities industry, based upon discovery, due diligence, technical knowledge and the four decades of securities experience he brings to the case. From a long-standing banking background in corporate finance, to underwriting and investment banking & real estate experience, 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 perspective into the securities expert witness 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 90% success ratio in the securities expert witness field. All of Mr. Dineharts’ securities licenses are current (7, 24, 63, 65, 79 & 99).
*Financial Education Network Development
Consulting Securities Expert Witness in both Court and Arbitration
Securities Arbitration/Litigation Case Review and Evaluation
Thorough Analysis of Due Diligence Performed on Products sold
Evaluation of Portfolio Risk Factors (Scorecard Analysis)
Assessment of Sales Practices Utilized (Standards of Care)
Analysis of Supervision Performed (R.R.’s and RIA’s)
Discovery Review and Recommendations
Forensic Accounting Reports
Specialized Analysis (Concentration – Modern Portfolio Theory)
High Impact Demonstrative Exhibits
Damage Calculations Utilizing Well Managed Account Theory
Persuasive Expert Testimony Before All Triers of Fact.