David N. Mahler

David N. Mahler

David Mahler is an affiliate expert with Bates Group, where he uses his extensive legal, compliance and general securities industry experience to consult and testify on matters involving securities law, suitability, sales practices, supervision, trusts, employment disputes and securities products.

Before joining Bates Group, Mr. Mahler was the Chief Executive Officer for TOV Capital Markets in Miami, Florida.  Mr. Mahler was responsible for the overall operation of the broker-dealer.  At Global Strategic Investments, he served as the Chief Compliance Officer and AML Compliance Officer where he oversaw all aspects of the company’s compliance with securities laws, rules and regulations.  During his tenure with SG Americas Securities, the U.S. broker-dealer subsidiary of Societe Generale, Mr. Mahler was responsible for the regulatory compliance of equity derivatives including responding to inquiries from the SEC, NYSE, NASD (now FINRA), CFTC, NFA, and ISE, advising the company regarding regulatory requirements, developing supervisory and compliance procedures for new business lines and rule changes, and updating and developing new surveillance reports.

As an arbitrator, Mr. Mahler has decided approximately 40 binding arbitration cases for the NASD (now FINRA) and the Pacific Stock Exchange.  Mr. Mahler has represented parties as an attorney in federal and state court, CFTC reparations proceedings, NASD/FINRA arbitrations, Pacific Stock Exchange arbitrations and NFA arbitrations.


Credentials

EXPERIENCE

TOV Capital Markets, Inc., Chief Executive and Compliance Officer, 2011 – 2013

Global Strategic Investments, LLC, Chief Compliance Officer, 2009 – 2011

TradeStation Securities, Inc., Chief Compliance Officer, 2006 – 2008

SG Americas Securities, LLC, Director, Equity Derivatives Compliance, 2005 – 2006

AXA Advisors, LLC, Vice President and Director of Compliance, 1999 – 2005

Prime Charter, Ltd., General Counsel and Chief Compliance Officer, 1997 – 1998

Mahler & Associates, Owner / Securities Attorney, 1995 – 1997

Yaeger Securities, Inc., Chief Compliance and Financial Officer, 1992 – 1995

Mahler & Associates, Securities Compliance Consultant, 1990 – 1992

Quest Capital Strategies, Inc., Vice-President, 1988 – 1990

Glenfed Brokerage, Inc., Trading Manager, 1986 – 1987

Charles Schwab & Co., Inc., VIP Trader, 1983 – 1986

Merrill Lynch, Account Executive, 1981 – 1982

Thomson Mckinnon Securities, Inc., Cashier, 1980

EDUCATION

New York University School of Law, LL.M. Corporate Law, 2002

Whittier Law School, Los Angeles, CA, J.D., 1995

California State University, Northridge, Accounting, 1976 – 1980

SECURITIES EXAMS

Series 3  Commodity Futures Representative

Series 4  Options Principal

Series 7  General Securities Representative

Series 9  NYSE Options Sales Supervisor / Branch Manager

Series 10 NYSE General and Municipal Sales Supervisor / Branch Manager

Series 14 NYSE Compliance Official Examination

Series 15 Currency Options Representative

Series 24 General Principal

Series 27 Financial and Operations Principal

Series 30 Futures Branch Manager

Series 53 Municipal Principal

Series 55 Equity Trader Examination

Series 63 Uniform Securities State Law Examination

Series 65 Uniform Investment Advisor Examination

Series 79 Investment Banking Examination

LEGAL ADMISSIONS

New York

California (inactive)

U.S. District Court, Central District of California

CERTIFICATION

Certified Anti-Money Laundering Specialist (CAMS) by the Association of Certified Anti-Money Laundering Specialists (ACAMS) since 2006.

PUBLICATION

Fee Selection and Reverse Churning: Overview and Practitioner Guidelines, Bates Research Group, March 2015

Automat:ee