Mason A. Dinehart III, RFC, Owner & Founder
FEND Securities Expert Witness
74 Sage Circle
San Ramon, CA 94583
310-850-2834 Fax: 310-649-3663
Email: tremase@fend.com
Web Site: www.FEND.Com
BUSINESS SPECIALTY
Expert witness - Consultant in arbitration & litigation involving
securities, insurance and annuities, nationwide. Testifying in 331
arbitrations (700+ retentions) before FINRA, NASD, AAA, NYSE, PSE & JAMS
with 85 mediations in AK, AZ, CA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MI,
MO, NM, NV, NY, OH, OR, TN, TX, UT, WA & WV (No charge for direct/non-stop
air flight time). Mr. Dinehart, RFC, has been qualified & has testified as a
Securities Industry Expert before the Federal & State Courts in California
plus as an Insurance Industry Expert before the State Court of
Nevada & serves as a FINRA arbitrator. Services are provided for both
claimants (65%) & respondents(35%).
AREAS OF STRENGTH
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.
PROFESSIONAL LICENSES
- MEMBER, FINRA REGULATION, INC.. BOARD OF ARBITRATORS #A30388 -
Panel Chairman - NASD # 99-03001 - April 2000
- Silber Bennett Financial, Inc. - Series 7, 24, 27*, 63, 65, 79 & 99
life insurance & variable contracts (CA #0643601), real estate*
*previously held
EDUCATION
- California State College at Los Angeles (B/A -1958 - Speech & Communication)
- American Institute of Banking School of Finance & Taxation - Graduate -
Los Angeles District Chapter
AFFILIATIONS & PUBLICATIONS
- Thomson Reuters (TREWS)
- FindLaw.com
- Jurispro.com
- Professional Counsel, TASA
- C.C.C.
- Ca-Experts.com
- Infofaq.com
- Exify.com
- YahooB2BLaw
- Forensis Group
- Securities Experts Roundtable
- Practising Law Institute - Panelist, Marketing Compliance - 1972
- R/E Syndication; Money Magazine - January, 2006; 10/2014
- PIABA Bar Journal, "The Scorecard, A Checklist for Due Diligence"
- Real Estate Review Published article - Fall - 1972
- The Register (IARFC) Summer 2002; The Advisors Network, Winter 2002;
- Panelist & Speaker-Annual Seminar for Securities Brokers 2000-2003
sponsored by Registered Representative Magazine & On Wall Street magazines
- Speaker-Panelist & Article, PIABA Conventions, October 2003 & February 2004
- KFWB Radio, November, 2003
- International Assn. of Registered Financial Consultants (IARFC),
- AAII - Life Member
- American Institute of Banking - Pasadena District Chapter (AIB)
- Adjunct Faculty Member - Westlaw Round Table Group
- 2004 published articles – www.expertlaw.com. – Palos Verdes Tennis Club
- PIABA Bar Journal Volume 21, No. 2 - 2014 – "A Checklist for Reasonable Due Diligence – The ScoreCard"
- PIABA Convention Speaker & Article, Fall 2003
BUSINESS EXPERIENCE
Securities
- Carlsberg Securities Corporation - 1969 to 1982
**
- Branch Manager - Securities
- V.P. Marketing - Securities - Insurance - R/E syndication
- Registered Principal Due Diligence and Compliance
- Westfield Capital Corporation - 1982 to 1986
***
- V.P. Marketing - Securities - R/E syndication
- Branch Manager, Due Diligence & Compliance
- Boardwalk Capital Corporation - 1987 to 1990
- National Sales Director
- Marketing Compliance Officer - Full service, independent financial planning broker/dealer
- Chairman of due diligence committee, licensing and recruiting for 200 registered representatives
- President - Registered Investment Advisor
- Financial Education Network Development - 1990-2001
- Owner & founder of a financial planning firm providing
educational retirement, financial planning seminars for 401-K participants
of corporations, nationally
- From 1995 to the present, the firm has added
an emphasis upon expert witness activities, along with 10 arbitrator
assignments since 1999 & 4 awards
- Eric Equities, Inc. - Securities, Annuities & Insurance - 1992 to 1999
- Locust Street Securities - Life Insurance & Annuity Sales - 1999 to 2000
- Empire Securities Corporation - January 2001 to January 2010
Home Office Principal & Director of Advertising Compliance
- AISG - American Independent Securities Group, LLC - 2010 to 2011
Registered Principal & Compliance Consultant
- Silber Bennett Financial, Inc. - August 2011 to Present
Registered Principal & Due Diligence & Director of Advertising Compliance
Commercial Banking
- Bank of America - 1959 to 1965
- AVP - Corporate Finance - National Division
- Union Bank - 1965 to 1969
- VP - Manager of Business Development - So. California
Taxes & Insurance
- L.E. Cooper & Associates 1959 - 1965
- Carlsberg Insurance Agency - 1975 - 1982
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