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Arbitrator, NASD, NYSE
ARBITRATOR NAME
MR. JOHN J. DUVAL, JR.
CITY, STATE, COUNTRY
BRONXVILLE, NY, USA
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Jack
is a Managing Director and Principal of John Duval
Associates LLC. He has expertise in many aspects of
the financial industry, including: suitability, portfolio
risk analysis, Modern Portfolio Theory, variable annuity
and life products and is experienced in most aspects
of the financial advice and investment business.
Since 2004, Jack has been retained in over 80 arbitration
cases, participated in numerous mediations and has
testified nine times in arbitration hearings. He is
an arbitrator for the NASD and NYSE.
Jack is currently a PhD student in Economics at The
New School for Social Research, where he expects to
graduate in 2009. He holds a MA in Economics from
The New School for Social Research as well as undergraduate
degrees in Economics and Philosophy from Elon College.
Prior to joining John Duval Associates, Jack worked
for 10 years at Merrill Lynch in the 5th Avenue office
in New York City. In his first year, Jack worked at
Merrill Lynch as an Administrative Assistant and then
went into production. In the nine years that followed,
Jack built a successful brokerage team that managed
over $275 million in assets for approximately 90 clients.
In addition to providing consulting and expert testimony
for securities arbitration cases, Jack is a Managing
Director and Chief Compliance Officer of Duval Asset
Management LLC, a Registered Investment Advisory firm.
He also provides continuing education and training
services to broker-dealers.
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