NASD ARBITRATION ID
A17245
ARBITRATOR NAME
MR. JOHN J. DUVAL, SR.
CITY, STATE, COUNTRY
NEW YORK, NY, USA
INVESTIGATIVE CONSULTANT, SECURITIES AND EXCHANGE COMMISSION, 2008-2009
FACULTY, PRACTICING LAW INSTITUTE, 2008
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John’s
22-year career in the financial services industry includes
approximately six years of management at the branch level
and the district level. At the branch level, he was the
OSJ responsible for ALL compliance and supervisory issues.
He has reviewed over 1,000 daily runs and has completed
hundreds of hours of management training at Merrill Lynch.
At the District level, in New York City, John managed over
40 ‘Specialists’ who served 700+ brokers and
their clients in specific areas as trust, financial planning,
insurance, mutual funds, managed money, mortgages, business
loans, high net worth, structured products, and risk management.
In these areas, John was also responsible for compliance,
suitability, and supervision along with the respective branch
managers in the District. In addition, he was the District
Annuity Specialist.
John’s retail experience as a broker was primarily
in a retirement community where his partnership’s
‘book’ was over $250,000,000 consisting of around
1,100 clients. He has never had a complaint and his U-4
and U-5 are pristine. He believes he has had no complaints
because he understands asset allocation and practiced it.
Since his second retirement from Merrill Lynch in 2001,
John has been retained in over 150 cases and testified about
45 times. He has completed NASD mediation training as well as 32 hours of mediation training at the Cardozo School of Law." In addition, he regularly attends his client’s
mediation where he offers expertise in case analysis and
settlement negotiations. Being an active arbitrator gives
him substantial insight into case possibilities.
In addition to providing consulting and expert testimony
for securities arbitration cases, John formerly co-managed a fee-only Registered
Investment Advisory firm offering portfolio management and financial planning.
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