Branch management, registered representative and registered investment adviser supervision, compliance, suitability, excessive trading, excessive commissions, margin, disclosure issues with regard to firm underwritings, client communications, operations.
Bob Oram is a financial services professional who worked at some of the nation’s largest broker-dealers during his Wall Street career. Bob advises brokerage firms, brokers, investors and legal counselors on regulatory matters pertaining to securities transactions and brokerage accounts. Bob conducts reviews of all documents to assist in identifying potential infractions such as, but not limited to, excessive trading (churning), excessive markups (commissions) and unsuitable recommendations. He provides frank, independent testimony during FINRA arbitration. Bob’s expertise and understanding of the securities industry are invaluable to individuals and institutions looking to resolve complicated issues involving securities transactions and the handling of brokerage accounts, including in litigation or alternative dispute resolution.
Bob’s experience as a retail branch manager includes supervision and oversight of registered representatives and client accounts. His supervisory responsibilities included the following: review of all trading activity to assist in identifying potential infractions such as excessive trading (churning), excessive markups (commissions) and unsuitable recommendations. Branches managed by Bob underwent successful internal audits as well as audits performed by the NYSE, SEC and CBOE. Bob has testified in broker arbitrations at FINRA arbitrations as well as in civil cases. He left the securities industry after 32 years with a spotless Form U4.