Mason A. Dinehart III, RFC, Owner & Founder
FEND Securities Expert Witness
5529 Bedford Avenue
Los Angeles, California, 90056
310-641-0377 Fax: 310-649-3663
Email: fendmase@ca.rr.com
Web Site: www.FEND.Com


BUSINESS SPECIALTY

Expert witness - Consultant in arbitration & litigation involving securities, insurance and annuities, nationwide. Testifying in 301 arbitrations (700+ retentions) before FINRA, NASD, AAA, NYSE, PSE with 72 mediations in AK, CA, OR, AZ, HI, ID, TX, IL, KS, KY, LA, MA, MI, MO, NM, NV, OH, NY, GA, TN, UT, WA, WV & FL. Mr. Dinehart, RFC, has qualified & testified as a Securities Industry Expert before the Los Angeles, Fresno & Orange County State Courts plus as an Insurance Industry Expert before the State Court of Nevada & serves as a FINRA arbitrator. Services are provided for both claimants (65%) & respondents(35%).


AREAS OF STRENGTH

Common/preferred stocks, corporate, municipal and junk bonds, IPO’s, mutual funds, variable/equity-index annuities, life insurance/VUL, L.P.’s, hedge funds, REITS, TIC's, sub-prime mtges., options, CMO'S, REMICS, TINTS, auction-rate, mortgage backed securities & Rule 144 private stock offerings, private securities, reverse convertibles & other structured products and IRS 72(t) problems. P&L's/damage calculations provided.

Testifying as to suitability, fiduciary duty, due diligence, underwriting & supervision, overreaching, churning, "selling away", over-concentration, unsuitable asset allocation, intentional and negligent misrepresentation, promissory fraud, modern portfolio theory analysis, standard deviation, Sharpe ratio, stock manipulation, best execution, margin, mark-ups &-mark-downs, on-line trading, employee termination disputes, RIA activities, control person liability, “financial suicide”, reverse churning, 401-K administrator and trustee responsibilities, standard-of-care, industry custom and practice plus compliance.


PROFESSIONAL LICENSES
  • MEMBER, FINRA. BOARD OF ARBITRATORS #A30388
    Panel Chairman - NASD # 99-03001 - April 2000
  • Silber Bennett Financial, Inc. - Series 7, 24 , 27*, 63, 65, 79,
    life insurance & variable contracts (CA #0643601), real estate*

  • *previously held

EDUCATION
  • California State College at Los Angeles (B/A -1958 - Speech & Communication)
  • American Institute of Banking School of Finance & Taxation - Graduate - Los Angeles District Chapter

AFFILIATIONS
  • Public Investors Arbitration Bar Association
  • Professional Counsel, TASA
  • Practising Law Institute - Panelist, Marketing Compliance - 1972 - R/E Syndication
  • Real Estate Review - Published article - Fall - 1972;
  • Panelist & Speaker-Annual Seminar for Securities Brokers 2000 - 2002 sponsored by Registered Representative & On Wall Street magazines
  • Publications:
    • The Register (IARFC)
    • The Advisers Network, Winter 2002
    • PIABA Convention Speaker & Article, Fall 2003
  • International Association of Registered Financial Consultants (IARFC)
  • AAII
  • Life Member - American Institute of Banking (AIB)
BUSINESS EXPERIENCE

Securities
  • Carlsberg Securities Corporation - 1969 to 1982
    • Branch Manager - Securities
  • Westfield Capital Corporation - 1982 to 1986
    • Branch Manager - Securities
  • Boardwalk Capital Corporation - 1987 to 1990
    • Vice President
    • Chairman - Corporate Finance Committee (due diligence)
    • Marketing Compliance Officer for 200 registered representatives
    • Acting Branch Manager
    • President - Registered Investment Advisor & Director of Recruiting
  • Eric Equities, Inc. - 1992 to 1999
    • Branch Supervisor
  • Locust Street Securities - Insurance & Annuity Sales - 1999 to 2000
  • Empire Securities Corporation - January 2001 to January 2010
    Home Office Principal & Director of Advertising Compliance
  • American Independent Securities Group, LLC - 2010 to 2011
    Registered Principal & Compliance Consultant
  • Silber Bennett Financial, Inc. - August 2011 to Present
    Registered Principal & Compliance Consultant
  • Financial Education Network Development - 1990 to Present
    Owner & Founder
    Financial planning firm providing educational seminars for corps, nationally with arbitration & expert witness services provided
Commercial Banking
  • Bank of America - 1959 to 1965
    • AVP - Corporate Finance
  • Union Bank - 1965 to 1969
    • VP - Manager of Business Development - So. California
Taxes & Insurance
  • L.E. Cooper & Associates 1959 - 1965
    • Tax Accountant
  • Carlsberg Insurance Agency - 1975 - 1982
    • President
REFERENCES
Paul W. Thomas*
Attorneys at Law
Carlsbad, CA
(760) 720-9600
Scott Kolod, Darlene Kowalczyk**
Kolod - Wager, Attorneys
Escondido, CA
(760) 480-8100
Erwin Shustak, Thomas Frost
Shustak & Partners
San Diego, CA
(619) 696-9500
Steven Joffe, David Kremenetsky**
Wilson, Elser, Moskowitz, Edelman & Dicker LLP
Los Angeles, CA
(213) 443-5100
Paul S. Gerding
Kutak Rock LLP
Scottsdale, AZ
(480) 429-5000
Albert "Chip" Cressey, III**
Reback, McAndrews & Kjar, LLP
Manhattan Beach, CA 90266
(310) 297-9900
Michael Blumenfeld*
Freeman, Freeman & Smiley, LLP
Los Angeles, CA
(310) 255-6102
Tracy Pride Stoneman, P.C.
Attorney at Law
Colorado Springs, CO
(719) 783-0303
Joseph S. Fogel
Attorney at Law
Sherman Oaks, CA
(800) 499-8444
Adam Saper**
Attorney at Law
Chicago,IL
(312) 704-2000
Alton Burkhalter
Burkhalter Kessler Goodman & George LLP
Irvine, CA
(949) 975-7500
Michael Yoder & Molly Magnuson**
O'Melveny & Myers
Newport Beach, CA
(949) 823-7936
Daniel W. Dunbar
Attorney at Law
Torrance, CA
(310) 792-0668
Paul M. Yacyshyn, V.P. Assoc. General Counsel**
AXA Equitable Life Insurance Company
New York, NY
(212) 314-5426
Alan C. Friedberg
Pendleton Friedberg Wilson & Hennessey P.C.
Denver, CO
(303) 839-1204
Robert Baskin*
Attorneys at Law
Ventura, CA
(805) 658-8200
Joe Coppedge**
Kummer Kaempfer Bonner & Renshaw
Las Vegas, NV
(702) 693-4257
James B. Betts
Betts & Wright
Fresno, CA
(559) 438-8500
Sam Bregman
Attorney at Law
Albuquerque, NM
(505) 761-5700
Martin Mushkin
Attorney at Law
Stamford, CT
(203) 252-2357
William Kircher
Attorney at Law
Orange County, CA
(949) 474-2310
Daniel Quisenberry
Quisenberry, Ridley & Shiffman, LLP
Westlake Village, CA
(805) 267-1834
Edward Russey III (Punitives)*
Attorney at Law
Irvine, CA
(949) 770-7004
Robert S. Fink
Attorney at Law
Beverly Hills, CA
(323) 653-3030
Eldon F. Holl, CPA
Holl, Bischoff & Bechoff LLP**
Los Angeles, CA
(310) 873-1675
Scott Bernstein
Attorney at Law
Sacramento, CA
(916) 933-2355
Rosemary Shockman (Past President PIABA)
Attorney at Law
Scottsdale, AZ
(602) 596-1986
James Mayer
Mediator
La Jolla, CA
(858) 551-5525
Bo Phillips
Reed Smith LLP
Oakland, CA
(510) 466-6722
Maurice Wainer
Snipper, Wainer & Markoff
Los Angeles, CA
(310) 557-1905
Kerry M. Kinney
Attorney at Law
Agoura Hills, CA
(818) 991-5102
David Liebrader (Punitives)
Attorney at Law
Las Vegas, NV
(702) 380-3131
Aidikoff, Uhl & Bakhtiari
Attorneys at Law
Beverly Hills, CA
(310) 274-0666
Jonathan W. Evans
Attorney at Law
Studio City, CA
(818) 760-9880
Kyle E. Lakin
Attorney at Law
Carlsbad, CA
(858) 779-1552
Jeff Rose**
Financial West Group
Westlake Village, CA
(805) 497-9222, Ext. 192
Ken Wood
Attorney at Law
San Diego, CA
(619) 239-1901
Angela Bedford
Attorney at Law
Houston, TX
(832) 875-6232
Marshall S Brenner**
Gordon & Rees LLP
San Diego, CA
(619) 696-6700
Dana Taylor
Duffy Kekel, LLP
Portland, OR
(503) 226-3574
Robert M. Moss
Attorney at Law
Santa Monica, CA
(310) 260-7650
Larry Hoellworth **
Attorney for Lloyds of London
Chicago, IL
(312) 431-3630
Christopher J. Slottee
Atkinson, Conway & Gagnon, Inc.
Anchorage, AK
(907) 276-1700
Joe Meyer
Mediator & Arbitrator - FINRA
Orlando, FL
(386) 677-8642
Edgar R. Nield
Attorney at Law
San Diego, CA
(858) 552-6745
Michael J. Abbott**
Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P.
Los Angeles, CA
(213) 485-1555, Ext. 215
Mark L. Godino
Glancy Binkow & Goldberg LLP
Los Angeles, CA
(310)201-9150
William Bonnheim
Attorney at Law
Indian Wells, CA
(760) 772-9696
Steven Feder
Attorney at Law
Denver, CO 80202
(303) 221-5599
Sally Corbat, Senior Counsel **
Lincoln Financial Group
Fort Wayne, IN
(260) 455-4548
Nicholas P. Iavarone
SimmonsCooper LLC
Chicago, IL
(312) 759-7504
Bert Levy
Mediator
Beverly Hills, CA
(310) 273-4140
Cory Chartrand
Triebach, Frampton, Dorius & Lima
Turlock, CA
(209) 667-2300
Kenan Oldham
Mediator
Irvine, CA
(949) 495-2788
Montgomery C. Griffin, J.D.
Arbitrator & Attorney at Law
Newport Beach, CA
(949) 721-9781
Jared R.B. Hutton
Attorney at Law
Los Angeles, CA
(310) 258-9441
Mitchell S. Ostwald
Attorney at Law
Sacramento, CA
(916) 641-4545
John Guerrini
The Guerrini Law Firm
Pasadena, CA
(626) 229-9611
J. Ryan Mitchell
Mitchell & Barlow
Salt Lake City, UT
(801) 365-2040
M. Steven Coontz
Coontz & Matthews LLP
San Juan Capistrano, CA
(949) 240-3040
Brian Harrison
Attorney at Law
Provo, UT, 84604
(801) 375-7700
Anthony Liberatore
Attorney at Law
Los Angeles, CA 90067
(310) 572-0900
Thomas Krueger**
Financial West Group
Westlake Village, CA
(805) 497-9222, Ext. 111
Phillip Koehnke**
Attorney at Law
(858) 229-8116
(Formerly Pres. Tradeway Securities)
Natalie Vance**
Klinedinst, Fliehman & McKillop, P.C.
San Diego, CA
(619) 239-8131, Ext. 238
Valerie F. Horn
Attorney at Law
Los Angeles, CA
(310) 888-8494
Kenneth Bohnert & Richard Sullivan
Conliffe, Sandmann & Sullivan
Louisville, KY
(502) 587-7711
Patrick Keegan
Attorney at Law
San Diego, CA
(858) 552-6750
Salim Turk
Attorney at Law
Los Angeles, CA 90025
(310) 442-4850
E. Thomas Maroney
Attorney at Law
Hawthorne. CA
(310) 791-9732
Jonathan A. Michaels
Michaels Law Group
Laguna Hills, CA
(949) 581-6904 J
Doug Thornton
Motschiedler, Michaelides & Wilshon, LLP
Fresno, CA
(559) 439-4000
Morse Taylor
Attorney at Law
Westlake Village, CA
(818) 735-9560
John Kunuth
Attorney at Law
Irvine, CA
(949) 472-6000
Steven B. Caruso*
Maddox, Hargett & Caruso, P.C.
New York, New York
(212) 837-7908
 * Respondent's Counsel as well as Claimant's

** Respondent or Respondent's Counsel

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