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John Maine

John Maine

Mr. Maine is a Bates Testifying Expert based in Belvedere, CA.  He began his career as a retail broker in Smith Barney’s Philadelphia office. At that time, since the line between retail and institutional brokers was not as clearly defined as it is today, he was able to expand his responsibilities to include coverage of significant institutional accounts such as T. Rowe Price, Mellon Bank, and the State of New Jersey Retirement System.

In 1972 he left Smith Barney to join the Los Angeles firm of Mitchum Jones & Templeton. There he was the national institutional sales manager charged with extending the institutional footprint beyond the West Coast base. In this role, he opened offices in Chicago, New York, and Boston. The goal was to provide research on western companies such as Bank of America, Weyerhaeuser, and Hewlett Packard.

Mr. Maine later returned to Smith Barney, at their request, to become the resident manager of the 100–person Philadelphia Office. As manager, he was responsible for personnel, compliance, and marketing, among other duties. He remained in this position until the early 1980s when he left Smith Barney to join McCormick Oil & Gas, a Houston-based independent oil and gas producer, as assistant to the Chairman. While he enjoyed working in the oil industry, Smith Barney again approached him with an opportunity, so he returned to become the Northeast regional director. His region had over 1,000 employees and generated revenues of almost $250 million and included all the offices east of Ohio and north of Virginia. In 1985 he was named to Smith Barney’s Board of Directors and was promoted to Executive Vice President. In 1990, after almost 26 years in the financial services industry, he resigned from Smith Barney to move back to the West Coast.

In 1990, Mr. Maine went into business as an independent expert witness & consultant in securities. Since then, he has been retained in excess of 1,700 times and given testimony on over 700 occasions. His appearances have been in various arbitration forums including FINRA, JAMS and AAA, in state and federal courts, and in SEC administrative proceedings and SRO disciplinary actions. He has also participated in numerous mediations and has testified in over 40 states.

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



  • Retail Stockbroker
  • Institutional Salesperson
  • National Institutional Sales Manager - responsible for recruiting and managing a nationwide sales force
  • Resident Sales Manager of a 100-person branch office
  • Regional Director for a 1,000-person region with revenues in excess of 200 million
  • Member of the Board of Directors of Smith Barney and Executive Vice-President of the Firm


Bachelor of Arts (BA), Magna Cum Laude, Dartmouth College, Hanover, NH


Among the topics qualified to present expert testimony

  • Annuities
  • Auction Rate Securities
  • Back office procedures
  • Broker forgivable notes
  • Churning and excessive trading
  • Commissions and mark-ups
  • Damages
  • Employment issues
  • Hedge Funds
  • Hedging strategies for concentrated positions
  • High Yield Bonds and other complex debt instruments
  • Inter-firm hiring disputes and raiding
  • Limited Partnerships
  • Managed Money
  • Municipal Bonds
  • Mutual Funds
  • Options trading
  • Registered Investment Advisor issues
  • Regulatory disciplinary matters
  • REITs & TICs
  • Retirement strategies
  • Rule #144 and other control stock issues
  • Suitability
  • Supervision and Compliance
  • Trading away
  • U-4 and U-5 filings

This is meant to be a representative list but is not all‐inclusive 


NYSE- Registered Representative
NYSE-Branch Office Manager
ASE, CBT, NASO, NYSE-Registered Options Principal
NASO-General Securities Principal
National Futures Association-Associated Person

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.