I am a litigation support and expert witness specialist with over 30 years of securities industry experience including twenty years of brokerage experience and over ten years’ experience in the investment compliance and surveillance software industry.
I have supervised hundreds of brokers and scores of branch managers in my tenure at both Smith Barney and Wachovia Securities. I was a member of both the Operating and Compliance committees at Wachovia Securities and participated in firm wide policy and procedure discussions on issues ranging from litigation matters to product due diligence. I previously maintained a Series 63, 65, 7, 8, 4 and insurance licenses.
My responsibilities included management, supervision, recruiting, training, sales leadership, administration and compliance. I was also the founder and CEO of Protegent, the first company to deliver automated exception reporting, auditing and sales practice review technology to the financial services industry through software known as BrokerAudit. Protegent was sold to SunGard, Inc. in 2005 at which time I became the Global Director of Compliance Product and Services at SunGard as part of the Enterprise Solutions Group.
I have been providing litigation and expert witness services at varying degrees since 2000. The Tilkin Group has been singly involved with litigation support and providing expert witness services since 2008. I have testified in cases heard before FINRA, the Securities and Exchange Commission, JAMS and AAA. The effort of the Tilkin Group supports both private practice attorneys litigating against the securities industry and the efforts of financial service firms in their defense of claims. I have testified in numerous cases around issues including but not limited to capital markets, suitability, fiduciary responsibility, supervision, raiding, RIAs, clearing relationships, compliance, best practices, private placements, alternative investments, employment and sales practice.