Walter BorfitzExpert Witness

Walter Borfitz has more than 32 years of experience in Margin Services and Credit Risk Management within the financial services industry.  He has held several roles at some of the leading Wall Street firms, including Charles Schwab, E-Trade Financial, Montgomery Securities and Credit Lyonnais, all within the margin and risk management areas.

Walter’s expertise includes portfolio margin, strategy based margin, options expiration risk, futures and futures options’ risk, FOCUS reporting and approvals, concentration reviews and Reg. T and maintenance calls, to name a few.

He has extensive knowledge of liquidations, Margin formula calculations, compliance concerning rules and regulations of margin, Options Risk reporting, and credit risk.  Walter can provide consultative expertise to firms looking for guidance on margin and credit related matters, and can serve as a Subject Matter Expert in these areas.

In earlier roles, Walter was a Margin Analyst, Senior Margin Analyst, Margin Supervisor, Senior Risk Analyst, Margin/Risk Manager and finally, Managing Director of Margin Risk Analysis at Charles Schwab.

He earned a Bachelor of Science in Economics at the State University of New York at Oneonta, and served in the U.S. Army as a Finance Specialist.

Walter previously held the Series 3, 4, 7, 24, 27 and 63 securities industry licenses.




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