- Broker-Dealer Compliance
- Regulatory and Internal Investigations
- Institutional Sales & Trading Litigation and Consulting
Michael SainExpert Witness
Michael Sain has more than 30 years of fixed income institutional sales experience, including sales recruitment, sales supervision, account assignment, account management and establishment of protocol procedures between interrelated departments.
His experience includes positions as:
- Managing Director of Fixed Income Institutional Sales for Raymond James Financial, Morgan Keegan, and First Southwest Advisors
- Vice President / Senior Vice President of Fixed Income Institutional Sales for Goldman Sachs
- An NASD arbitrator from 1990-1995
Mr. Sain has held Series 3, 7, and 63 securities industry licenses.