Midwesterner by birth and upbringing. AB English, Haverford College, 1963; MBA Management Information & Control, University of Pennsylvania Wharton School, 1971. Retired U.S. Navy Captain; seven years active duty, 20 reserve duty.
Leadership positions in primary equity and fixed income capital markets with five Wall Street investment banks, 1972-94. Active in industry affairs: chaired SIA Syndicate and NASD Corporate Financing committees and SIA New York District.
Founded South Beach Capital Markets Advisory Corporation (SBCMAC), corporate financial advisory firm, 1995. SBCMAC merged with Milwaukee broker-dealer Collopy & Co. to become South Beach Capital Markets, Miami investment bank/broker dealer, 1999-04. CFO sub-prime auto lender Aurora Capital, 2005-06.
Significant board service: independent director Pilgrim Group mutual funds; non-industry governor Philadelphia Stock Exchange; director/trustee of many public, private companies and not-for-profit entities; member National Association of Corporate Directors.
Re-activated SBCMAC 2007. Render corporate financial advice to CEOs, CFOs and boards; facilitate corporate ethics seminars. Financial Industry Regulatory Authority arbitrator. Conduct expert witness practice focused on corporate governance and initial public offering process; member, past president/director Securities Experts Roundtable. Past contributor to many financial print media, television and radio entities; widely quoted on investment banking/capital markets matters.
Faculty member/lecturer in finance, University of Florida, Warrington College of Business, Hough Graduate School of Business. Teach “Capitalism” course in MSF program, mentor students; conduct seven annual seminars on select financial services job disciplines.
Founding editor, Capital Markets Handbook, 1999; co-editor 2000-present.