Max Isaacman
 Registered Investment Advisor
Author & Expert Witness
1333 Jones Street, Suite 1104
San Francisco, CA 94109
415-397-6434 Mobile: 415-596-8092
Toll Free: 800 475 3400
Email: EXCH13@aol.com
Web Site: www.maxisaacman.com/id5.html

Expert Witness Summary

Testified in seven arbitrations.

Rendered opinion & gave attorneys guidance in ten cases. Constructed damages & suggested alternative investment strategies.

Max Isaacman offers opinions on investment suitability, portfolio construction, compliance & supervision. An investment professional for over 45 years, manages institutional & individual accounts, writes for major investment media outlets & has written four stock market books. Has managed an office for a major broker/dealer & presently manages an institutional department of a broker/dealer.

CAREER SUMMARY

East/West Securities (1998 to Present)
Manager, Stockbroker, Registered Investment Advisor
  • Manage the institutional department & write market reports.
  • Manage discretionary & non-discretionary accounts.
  • Expert witness & consultant to attorneys.
  • Author, How to Be an Index Investor (McGraw-Hill, 2000); The Nasdaq Investor (McGraw-Hill, 2001); Investing with Intelligent ETFs (McGraw-Hill, 2008); Winning with ETF Strategies (Financial Times Press, April 2012).
  • Contributor to Minyanville.com.
Registered Representative for stocks & bonds (1984 – 1997)
  • Registered Representative for institutional & individual investors with several brokerage firms, including Merrill Lynch, Montgomery Securities, Wedbush Morgan, Rodman & Renshaw, Cruttendon Roth, & McClurg Capital. The Bank of California Vice President, Personal Trust & Investments Division. Business development officer for the money-management services of the bank. Prospected for new clients by cross-selling within the bank marketed money management services within tax-advantaged structures such as charitable remainder trusts.
  • Wrote financial articles for media sources such as Personal Investing News, the San Francisco Examiner, Investment Technology News & Delta Airlines Sky magazine.
SG Cowen (1980 to 1984)
  • Office manager, broker & partner. Co-built & managed an office with 35 brokers. Had supervisory responsibility over brokers & operations staff.
Lehman Brothers (1975 to 1980)
  • Vice President, broker. Registered Representative for individuals & institutions investing in stocks & bonds.
Merrill Lynch & Bache & Co.(1966 to 1975)
  • Registered Representative for individuals & institutions investing in stocks & bonds.
SPEAKING EVENTS

Presentations to CFA Institute societies;
  • IBC Closed-End Fund Congress - New York City
  • FTSE Global Index Conference - Geneva, Switzerland
  • Appeared on Television:
    • CBS MarketWatch
    • Tech TV
    • Bloomberg
    • CBS affiliates, San Francisco, Chicago & other shows
EDUCATION
  • B.S., Rider University, Lawrenceville, N.J.
  • Additional studies:
    • U.C. Berkeley Extension
    • San Francisco StateUniversity
    • Golden Gate University
LICENSES
  • Securities Representative, Series 7
  • NYSE Branch Office Manager, Series 12
  • Registered Options Principal, Series 4
  • Uniform Securities Agent State Law, Series 63
  • Uniform Investment Advisor Law, Series 65

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