Jody Scharf

Jody Scharf is a Bates Consulting and Testifying Expert based in New Jersey with expertise in trading protocol and sales, Broker-Dealer rules and regulations, and all aspects of corporate and municipal bond protocols. Mr. Scharf successfully traded Corporate Bonds and Municipal Bonds for nearly 20 years at two major investment banking houses, Lehman Brothers and Barclays. Prior to that, he traded corporate bonds at a retail sales broker-dealer for four years, working closely with investment representatives. Mr. Scharf has also appeared as a fact witness on multiple FINRA cases.

During his career, Mr. Scharf was used a sounding board by legal and compliance for questions regarding trading protocols and sales. He provided measured trading within the boundaries for rules and regulations, and he was known for mentoring and coaching new hires. Mr. Scharf received his MBA from the New York Institute of Technology, holds Series 7, 53, 63 and 24 licenses, and is a certified FINRA arbitrator.

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

Securities and Financial Services Litigation & Consulting
- Retail Securities
- Institutional Securities
Compliance Solutions
- Broker-Dealers

Credentials

EXPERIENCE

Bates Group LLC, Consulting and Testifying Expert, 2019 - Present
Barclays Investment Bank, Municipal Bond Trader – Managing Director, New York, NY, 2008 – 2019
Lehman Brothers, Senior Vice President – Municipal Bond Trader, New York, NY, 1999 – 2008
Gibraltar Securities, Corporate Bond Trader, Morristown, NJ, 1994 - 1999
Shearson Lehman Brothers, Corporate Bond Trader, New York, NY
Shearson American Express, Corporate Bond Liaison, New York, NY

EDUCATION

Master of Business Administration (MBA), Financial Instruments & Markets and Finance, New York Institute of Technology, New York, NY
Bachelor of Arts (BA), Political Science, S.U.N.Y Binghamton, Binghamton, NY

PROFESSIONAL QUALIFICATIONS