Resolution Strategies, LLC
1750 Marlyn Road
Fort Myers, FL 33901
Facsimile: (239)332-1797
Resolve@resolutionstrategiesLLC.com
Employment History
|
| June 2003 to Present | President – Resolution
Strategies,
LLC
A mediation organization dedicated to the Resolution of Securities
Disputes. Services include: Mediation, Arbitration, Mock Arbitrations,
Pre-suit Evaluation and Expert Witness Testimony. |
| April 1998 to June 2003 | Vice
President – AIG/Royal
Alliance Associates, Inc.
Southeast Regional Manager. Developed and implemented a regional
management system at the forefront of dramatic changes taking
place in the independent broker- dealer arena. Managed a 50+
branch office network in the Southeastern United States for the
largest independent broker-dealer organization the AIG Advisor
Group. Responsible for branch examinations, outside business
activity review and trade blotter analysis. Instrumental in conflict
resolution between branch managers and our corporate office.
Effectively introduced and supervised all compliance initiatives
with a three member staff based in Fort Myers, Florida. Other
duties include: Branch business planning, marketing and Consultation,
product sales promotion, recruiting, training. |
| April 1995 to April 1998 | Vice
President – Royal
Alliance Associates, Inc.
Branch Office Development. Developed leading recruitment region
for subsidiary of Sun America, Inc., a NYSE firm. Responsible
for recruiting quality registered representatives, financial
planners and broker-dealers in the Eastern U.S.. Duties included:
presentations to candidate groups and management of marketing
support employees. |
| August 1994 to April 1995 | Regional
Director – Wells
Fargo, Overland Express Funds
Mutual Fund Marketing. Responsible for the marketing and sales
development of a mutual fund family managed by the 9th largest
U.S. bank and distributed by
Stephen’s Inc., a premier investment banking firm. Territory
managed included Florida, Georgia, Mississippi, Alabama, North
Carolina and South Carolina. Primary business development and
distribution channels included Merrill Lynch, Smith Barney, PaineWebber
and
various regional broker dealers. |
Education
| Juris Doctor, Nova Southeastern University
Associate Editor – Nova Law Review
Bachelor of Arts, Hollins College |
Licenses
| Series 7, 22, 24, 63 and 65
Certified NASD Arbitrator and Mediator
Certified Florida Circuit Civil Mediator
Certified Florida Family Mediator
Member The Florida Bar and Texas Bar
Member American Arbitration Association (AAA)
Member Association for Conflict Resolution (ACR)
Member Florida Academy of Professional Mediators |
ADR Experience
| Served as an arbitrator or chairperson on 20+ NASD
cases, including pre-hearing telephonic conferences, injunctive
relief hearings, and general hearings at both Boca Raton
and Tampa hearing locations. Performed as corporate representative
at both SRO and regulatory
hearings. |
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