David Cave

David CaveExpert Witness

David Cave is a seasoned compliance and operations Manager with over 30 years of experience in the securities industry.  He has extensive experience supervising cage transactions, including the review of trading in options, futures, commodities, alternative investments, insurance and hedge funds, along with standard brokerage products.

Mr. Cave spent much of his career acting as the liaison with internal and external audits, and all regulatory inquiries.  He served as the primary contact for resolution of customer complaints within his Complex. He has extensive experience in resolving complex situations involving trading, credit, and other special needs of the clients.  He also has deep working knowledge of reviewing and monitoring Investment Advisory Reps, for adherence to stated policy guidelines and SEC rules.  Throughout his career, David has worked closely with AML issues and was actively involved with KYC.

Having spent his career on the West Coast, David has worked with leading broker-dealers and dually registered firms, including Stifel, UBS Financial Services, Bear Stearns and its successor firm, J P Morgan, CIBC – Oppenheimer and Charles Schwab.

Mr. Cave earned his BA in Political Science from Sonoma State University.

He previously held the Series 3, 7, 8, 14, 24, 63, 65 securities industry licenses, along with his California Life & Health Insurance License.

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