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
    • Branch Supervisor
  • 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
    • Tax Accountant
  • Carlsberg Insurance Agency - 1975 - 1982
    • President
** During the period 01/1982 – 04/1987, I also held my licenses with 1901 Century Financial Corporation, Pacific Capital Securities, Inc. & Empire Securities Corporation of Southern California to market and wholesale their specialty products and life insurance.

*** During the period 03/1990 – 04/1990, I was also licensed with NILCORP Securities Company and Promontory Capital Corporation to market and wholesale their sponsored products.


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