Current |
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2007–present |
Cabrera Capital Markets, Inc. Chicago ILBoutique investment bank with focus on tax exempt financing. Audit Committee (2009–present)Compensation Committee (2007–present) |
2009–present |
Securities Experts’ Roundtable Little Rock AK501(c)(3) group of some securities industry professionals with expert witness practices representing almost all industry disciplines from retail brokerage to investment banking.Strategic Planning Committee Co–chair (2009–present), Finances Committee Chair (2010-present) |
Prior |
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1995–2007 |
Aurora Capital, Inc. and two of its operating subsidiaries (Car Plaza and Flamingo Financing) Sunrise FLFully integrated automotive finance and retail used car company. Audit Committee (1997–2003)Compensation Committee (1997–2003) |
1998–2000 |
The Bath Club, Inc. Miami Beach FLPrivate club. |
1988–1994 |
The Bond Club of New York, Inc. New York NYSecurities industry professional group. |
1996–1997 |
Mako Marine International, Inc. Miami FLOffshore sport–fishing and recreational boat manufacturer.Audit Committee Chairman Compensation Committee |
1972–1980 |
Materials for Today’s Learning, Inc. Reno NVWarehousing and fulfillment company.Audit Committee |
2002–2007 |
Miami Design Preservation League Miami Beach FL501(c)(3) organization to preserve, protect and promote cultural, social, economic and architectural integrity of Miami Beach and Miami.Executive Committee Finance Committee Fund Raising Committee Chairman |
1997–1999 |
Philadelphia Stock Exchange Miami Beach FLPhiladelphia PA Regional securities exchange.Allocation, Evaluation and Securities Committee Chairman Quality of Markets and Quality of Options Markets Committees Philadelphia Depository Trust Company Stock Clearing Corporation of Philadelphia |
1995–1998 |
Pilgrim America Capital Corporation Phoenix AZEight individual mutual funds of this investment management company.Audit Committee |
1983–1995 |
Securities Industry and Financial Markets Association, New York District, Economic Education Foundation New York NY501(c)(3) organization to promote economic education and help fund the SIA Stock Market Game.Founder and Chairman (83–93) Trustee (83–94) Chairman Emeritus (95) |
1999–2003 |
SBCM Holdings Incorporated Miami FLHolding company for South Beach Capital Markets Incorporated, an investment bank/broker dealer. Member: NASD, MSRB and SIA. Chairman of the Board and Chief Executive Officer |
1998–1999 |
Technology Flavors & Fragrances, Inc. Amityville NYFlavor, fragrance and seasonings manufacturer/marketer.Audit, Compensation and Executive Committees |
1997–1998 |
2Connect Express, Inc. Plantation FLCommunications specialty retailer operated under voluntary petition as per Chapter XI of the U.S. Bankruptcy Code.Compensation Committee member Chairman Debtor–in–Possession Investor Solicitation Committee |
1990–1992 |
Villager Pond Condominium Association Darien CT37–unit development. Chairman (91–92) |
1997 |
WIT Capital Corporation Voting Trust New York NYTrust holding founder’s interest in this Internet investment bank. |
Continuing Corporate Governance Education |
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1979 |
Practicing Law Institute New York NYIndependent Outside Director two–day seminar. CLE accredited. |
1997 |
Business Education Services Coral Gables FL“How to Read a Financial Statement”: one–day seminar. |
2004 |
Sarbanes–Oxley Workshop Fort Lauderdale FL“What every public company should know about the new requirements applicable to its SEC filings in 2004.”½–day seminar sponsored by Akerman Senterfitt and Bowne. CLE accredited. |
2005 |
Florida Directors’ Institute Tampa FLBoardroom Education Program: ISS accredited one–day seminar. |
2006 |
Securities Offering Reform and Other SEC Hot Topics Fort Lauderdale FL“What every public company should know about the SEC’s recent regulatory initiatives, plus a Sarbanes–Oxley update.” and “Insight into the enforcement and criminal prosecution priorities of the SEC and the Department of Justice.”½–day seminar sponsored by Akerman Senterfitt and Bowne. CLE accredited. |
2007 |
Bank Executive Forum Deerfield Beach FL“Managing a Community Bank through Turbulent Times.”½–day seminar presented by Ben A. Plotkin, Executive Vice President, Stifel Nicolaus. |
2007 |
SEC Disclosure Seminar Hollywood FL“What every public company should know about the new requirements applicable to the preparation of its Annual Disclosure Documents in 2007.”½–day seminar sponsored by Akerman Senterfitt and Bowne. CLE accredited. |
2007 |
Specialty Assets Miami FL“Everything a Professional Advisor Needs to Know About Specialty Assets.” Luncheon seminar sponsored by JPMorgan Private Bank. CLE accredited. |
2008 |
How to Add Value Beyond Governance Fort Lauderdale FL“In these days of Sarbanes Oxley, etc., directors need to remain focused not only on the ‘business of government,’ but also on the ‘governing of the business.’”Breakfast seminar presented under auspices of Florida Chapter of National Association of Corporate Directors. |
2009 |
SEC Disclosure Seminar Hollywood FL“What every public company should know about the requirements applicable to the preparation of its Annual Disclosure Documents in 2009.”½–day seminar sponsored by Akerman Senterfitt and Bowne. CLE accredited. |
2010 |
Dodd-Frank Legislation's Impact on Boards - Part I Miami FL "Significant new provisioins in corporate governance, major reforms to consumer protections and financial product regulation." Breakfast panel discussion under auspices Florida Chapter of National Association of Corporate Directors. CLE accredited. |
2010 |
Dodd-Frank Legislation's Impact on Boards - Part II Miami FL "Significant new provisioins in corporate governance, major reforms to consumer protections and financial product regulation." Breakfast panel discussion under auspices Florida Chapter of National Association of Corporate Directors. CLE accredited. |
2010 |
Florida Directors' Institute Tampa FL "Best Governance Practices," "View from Institutional Investors," "Board Strategic Value" and "Managing a Crisis" covered in 1-day workshop. NACD accredited. |
2010 |
Securities Law Roundtable Miami FL "Impact of U.S. Supreme Court's 'Morrison v. National Australia Bank' decision on securities class actions," "Federal securities litigation: fresh look at Daubert," Effects of Dodd-Frank on securities litigation" and "Corporate governance and executive compensation in age of financial reform." Daily Business Review sponsored 1/2-day program. CLE accredited. |
Over thirty–five years of independent reading, study and writing on corporate governance, accounting principles and the fiduciary and duty of care obligations of an independent director/trustee.
Frequent public speaker and television/radio contributor on corporate governance, especially for newly public companies; conduct corporate and business school seminars on ethics in the work place.
Member, National Association of Corporate Directors.