Robert M. Fusfeld

Attorney
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 Joseph v. Wealth Systems International, Ltd., et. al. I was retained by the Colorado Attorney General to prepare a declaration concerning whether instruments offered were securities and whether various representations were material. The court entered a temporary restraining order and appointed a receiver. The complaint alleged that the defendants had operated a $12 million ponzi scheme. See, the press release and the complaint.

Schwab YieldPlus Arbitrations

I have been retained as an expert witness in a number of Finra arbitrations involving the Charles Schwab YieldPlus bond fund.

In Re Valley Investments

I was retained by the Colorado Attorney General's Office as an expert in a matter involving issues of whether instruments were securities as either notes under the Reves test or investment contracts. Another issue was whether state law securities convictions of an individual were material requiring disclosure to investors. The matter settled before trial. See, the Colorado Division of Securities press release.

California State Court Matter
 
In July 2008 I prepared a declaration that was filed in connection with a TRO.  That declaration discussed my experience with "pump and dump" schemes and whether the conduct involved violations of the securities laws.

Colorado Matter 
 
I was retained by the Colorado Division of Securities in connection with a matter involving broker-dealer supervision issues in May 2008.

AAA Arbitration
  
I was an expert witness in an arbitration that involved issues concerning issuance of options to a former corporate executive under SEC Form S-8, and application of insider-trading law as well as materiality issues.  I testified at the hearing in January 2008. 

In the Matter of Investors Capital Corp., Massachusetts Securities Division Docket No. E-2005-0190

I was retained as an expert concerning broker-dealer supervision in an enforcement case by the state that involved sales of index annuities by a broker-dealer to elderly or unsophisticated investors. This matter was settled before trial. 
Click to retrieve documents relevant to the case, including the complaint and settlement order.  See, this Washington Post article on senior fraud that mentions the case.