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John Maine
B.A., A.S.E., C.B.T. ·
BELVEDERE, California
Marketing
Securities
Alternative Investments
Annuities
Auction Rate Securities
Back office procedures
Broken forgivable notes
Churning and excessive trading
Commissions and mark-ups
Damages
Employment issues
Hedge Funds
Hedging strategies for concentrated positions
High Yield Bonds and other complex debt instruments
Inter-firm hiring disputes and raiding
Limited Partnerships
Managed Money
Municipal Bonds
Mutual Funds
Options trading
Private Equity/Private Placements
Registered Investment Advisor issues
Regulatory disciplinary matters
REITs & TICs
Retirement strategies
Rule #144 and other control stock issues
Suitability
Supervision and Compliance
Trading away
U-4 and U-5 filings
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