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David N. Mahler

David N. Mahler

David Mahler is a Bates Testifying Expert, 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.

David is a consultant and subject matter expert in these Practice Areas and Services:

Credentials

EXPERIENCE

Bates Group LLC, Testifying Expert, 2015 - Present
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

Master of Law (LL.M), Corporate Law, New York University School of Law, New York, NY
Juris Doctor (JD), Whittier Law School, Los Angeles, CA
Bachelor of Science (BS), Accounting, California State University, Northridge, CA

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

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.