Greg Wood, an articulate securities expert witness, combines 35 years as a securities industry professional with five years of litigation consulting to help clients succeed in arbitration or court. His business, Securities Litigation Support, LLC, provides a full range of services for securities attorneys and their clients.
These services include:
Securities Case Evaluation
Securities Litigation Strategy
Securities Account Analysis (16 Standard Reports)
Securities Litigation Consulting
Securities Expert Reports
Securities Damage Calculations
Securities Expert Testimony
Greg Wood's securities industry experience is broad and deep. He has been a retail stockbroker, a commodities exchange member, a commodities futures analyst, a national securities firm branch manager, a national securities firm director of regional training, a bank securities firm regional manager, a bank securities firm regional sales director, and a national securities firm senior executive.
In addition, he is a FINRA and NFA Arbitrator and a FINRA Mediator.
Call Greg today at 702-253-9663 for a free initial consultation.
Background
Q: Please list your professional accreditations, degrees, licenses, and certificates granted:A: Greg Wood has passed the following examinations and holds or has held the following licenses* or their equivalents:
• Series 3 National Commodities Futures
• Series 7 General Securities Representative
• Series 8 General Securities Sales Supervisor (9 and 10)
• Series 24 General Securities Principal
• Series 63 Uniform Securities Agent State Law Exam
• Series 65 Uniform Investment Advisor Exam
• Insurance Exam
* Most of these securities licenses are now inactive.
Education and Training:
Oregon State University - Business Administration
Securities Industry Institute (SIFMA);1990 Graduate; University of Pennsylvania
NASD Arbitrator Training - 2003
NASD Arbitrator Chairperson Training - 2004
Utah Alternative Dispute Resolution, Mediator Training; - 2004
NASD Additional Training: Annuities II - 2004
NASD Additional Training: Your Duty to Disclose - 2004
NASD Additional Training: Discovery, Abuses and Sanctions - 2004
NASD Additional Training: Expungement - 2004
NYSE Additional Arbitrator Training - 2005
NFA Additional Arbitrator Training - 2005
NASD Additional Training: Understanding the Pre-hearing Stage - 2006
NASD Additional Training: Direct Communication Rule - 2006
NASD Additional Training: Revised Code of Arbitration 2007
FINRA Additional Training: Expungement - 2008 Refresher - 2009
FINRA Additional Training: Motion to Dismiss - 2009
Other
FINRA (NASD & NYSE) Arbitrator
FINRA (NASD & NYSE) Mediator
NFA Arbitrator
Past board Member; Mountain Mediation Center, Park City, UT
Past Securities Industry Association, Sales and Marketing Committee Member
Past Member, Chicago Mercantile Exchange; IOM Seat
Member, Securities Experts' Roundtable, Inc.
Q: Please list your affiliations or memberships in any professional and/or industry organizations:
A: FINRA (NASD & NYSE) Arbitrator
FINRA (NASD & NYSE) Mediator
NFA Arbitrator
Founding Board Member, Mountain Mediation Center, Park City, UT
Past Securities Industry Association, Sales and Marketing Committee Member
Past Member, Chicago Mercantile Exchange (IOM Seat)
Member, Securities Experts' Roundtable, Inc.
Q: Please list any teaching or speaking experience you have had, including subject matter:
A: Director of Regional Training for Prudential Securities, Inc.12/1/1995 Through 12/31/1996
Q: Have any of your accreditations ever been investigated, suspended or removed? (if yes, explain)
A: No
Q: On how many occasions have you been retained as an expert?
A: Retentions: Over 140 Retentions
Expert Reports: Over 55
Expert Testimony: Over 25
Q: For what area(s) of expertise have you been retained as an expert?
A: I have been retained in matters related to Broker-Dealer issues. These include NASD / FINRA issues and employment along with securities firm policies, procedures, practices, standards, registered representative activities and product related topics.
Q: In what percentage of your cases were you retained by the plaintiff?
A: About 60%
Q: In what percentage of your cases were you retained by the defendant?
A: About 40%
Q: On how many occasions have you had your deposition taken?
A: Four - Depositions in NASD arbitration are discouraged.
Q: When was the last time you had your deposition taken?
A: January 2009
Q: On how many occasions have you been qualified by a court to give expert testimony?
A: None - The securities industry uses arbitration and mediation to settle disputes.
I have written a number of Rule 26 reports for court. Each of these cases settled.
Q: On how many occasions have you testified as an expert in court or before an arbitrator?
A: More than 25.
Q: For how many years have you worked with the legal industry as an expert?
A: Six
Q: What services do you offer? (E.g.: consulting, testing, reports, site inspections etc.)
A: Securities Case Evaluation
Securities Litigation Strategy
Securities Account Analysis (16 Standard
Reports)
Securities Litigation Consulting
Securities Expert Reports
Securities Damage Calculations
Securities Expert Testimony
The Standard Account Analysis Package Includes the Following Reports:
Internal Rate of Return
Total Investment Summary
Trade Transaction Summary
Trade Transaction ROI by Issue Detail
Open / Close Analysis by Open
Cash Transactions
Trade Transactions Chronology
Cash Transactions Chronology
Income Summary
Monthly Profit and Loss
Reconciled Cash Summary
Net Out-of Pocket
Trade Summary by Sector
Looper Turnover Calculation
Cost Maintenance Factor (Commission)
Charts (Cumulative Equity, Month End Value, Etc.)
Other Reports and Charts Are Available as Required.
Q: What is your hourly rate to consult with an attorney?
A: $250.00 per hour for all services other than testimony. Testimony, trial, hearing or deposition, is billed at $300.00 per hour.
My initial consultation is without charge. Thereafter, the hourly rate applies.
Q: What is your hourly rate to review documents?
A: $250.00 Per Hour.
Q: What is your hourly rate to provide deposition testimony?
A: $300.00 Per Hour.
Las Vegas area - 4 hour minimum - $250.00 per Hour.
Requiring air or overnight travel - 8 hour minimum - $250.00 per Hour.
Q: What is your hourly rate to provide testimony at trial?
A: $300.00 Per Hour
Testimony in court, mediation or arbitration:
Las Vegas area - 4 hour minimum - $250.00 per Hour.
Requiring air or overnight travel in 8 hour minimum - $250.00 per Hour.
Q: Please list any fees other than those stated above (E.g.: travel expenses, copy fees, etc.)
A: Travel within 50 miles of Las Vegas, NV - No Charge; Travel other than above is charged at the IRS automobile mileage rate plus actual expenses.
Air travel is charged at the lowest non-stop refundable coach rate plus actual expenses. There is an hourly charge for travel outside Las Vegas.
Miscellaneous supplies such as, faxes, copies, parking, etc. are charged at cost.
Terms:
Retainer: Minimum $3,000 retainer paid in advance. Any amount of this retainer, in excess of the amount billed against it, is non-refundable. Charges exceeding the original retainer are billed monthly. Payment is due in full within 20 days. Amounts not paid within 20 days are subject to a late charge of 1.5% per month until paid in full. All invoices must be fully paid prior to testimony.
e-mail to receive the full fee schedule and agreement. greg@expertsecurities.com
