trained and licensed in all aspects of financial services industry operations as an in-house attorney for Paine Webber Jackson and Curtis, Inc. and EF Hutton & Company.
Branch Manager); Series 24 (FINRA General Principal); Series 53 (Municipal Securities Principal); Series 63 (Uniform State Registration); Series 65 (Uniform Investment Advisor Principal) and New York Stock Exchange Allied Member.
From 1999-2006 Mr. Brandon was a branch manager and corporate Vice President for Wedbush Morgan Securities in San Francisco. He developed an expertise in technology and information systems and also helped start the Executive Services Department catering to corporate executives and accredited investors. In this capacity he oversaw the due diligence efforts on private offerings, alternative investments and cash management to name a few.
Since 2006 Mr. Brandon has worked for a succession of companies raising funds in the private equity markets.
Mr. Brandon has completed the following professional training: 2014 FINRA Compliance Conference participant (topics included Due Diligence best practices and Crowdfunding), 2011 and 2014 SEAK National Expert Witness Conference (conducted by judges and attorneys); Interest Rate Risk Management, New York University; University of Pennsylvania Wharton School of Finance, Securities Industry Institute.
Irwin Stein, Co-Founder, has conducted due diligence investigations working with top-tier law firms, accountants and investment bankers preparing public and private offerings.
Mr. Stein earned a B.A. from Rutgers University in American Economic History and a JD from the New York Law School. He has been a member of the New York bar since 1975. Mr. Stein was
From 1979-1987 he engaged in the private practice of law, representing financial industry firms, companies seeking capital and professional traders and investors.
In 1988-89 Mr. Stein served as General Counsel of a real estate firm which operated multi-family housing units and assisted-living facilities worth $1.5 billion in 23 states. During his tenure, he supervised 2 public and 5 private securities offerings.
For ten years beginning in 1990, Mr. Stein taught Economics, Law and Economics, Finance and related courses, as an Adjunct Assistant Professor, to business school students at Golden Gate University in San Francisco. He was a member of the faculty budget committee for 5 years, serving one year as its chairperson.
At the same time, Mr. Stein became active as an expert witness, helping litigants to dissect securities offerings that had failed. He has qualified and testified as an expert witness more than 100 times.
From 2001-2014 Mr. Stein was a full-time advocate representing hundreds of investors who had lost their money in the 2001 tech wreck and 2008 financial meltdown.
Mr. Brandon earned a B.A. in International Economics and Organic Chemistry from The Ohio State University/Wright State University.
He joined the financial services industry with Bache Halsey Stuart Shields & Co. as a registered representative in 1969 and rose, over 10 years, to sales manager, marketing desk manager and corporate bond marketing manager.
In 1979 Mr. Brandon joined Advest Inc. as a sales and marketing Vice President, ultimately managing 80 branch offices with 540 brokers and 800 total employees. Promoted to Group Vice President he was responsible for a half-dozen product departments including the pre-offering due diligence for a wide variety of financial products including alternative investments and private placements. Mr. Brandon also served as a member of the Advest Inc. Board of Directors.
Jeffrey Brandon, Co-Founder and Managing Member has spent more than forty years bringing financial products to market and helping companies raise investment capital.
Mr. Brandon has held the following Security Industry licenses; Series 3 (Commodity Futures Principal); Series 4 (Registered Options Principal); Series 7 (General Securities); Series 8 (NYSE