Richard B. Bequette of Taurus Investment Analysis Services, LLC, is
a Phoenix, Arizona expert witness and consultant in securities, investments,
variable annuities and variable life insurance, customer dispute resolution,
arbitration, testimony, NASD Rules and Regulations, fraud, churning,
stocks, bonds, options and suitability.
Richard B. Bequette has been a fully registered
Principal, Manager and Compliance Director for over 20 years, working
in a majo
r
Wall Street firm, a regional brokerage firm, an insurance-affiliated
broker dealer and a broker dealer with branches in financial institutions,
all of which gives him a broad and diversified view of the industry.
He
has been an arbitrator since 1984, a member and Chairman of
a District Business Conduct Committee,
and before that, over twenty years law enforcement investigative and
command experience.
This
allows him to reconstruct accounts, produce P&L calculations and illustrations,
and fully articulate and testify to issues and industry standards, as
well as rules and regulations.