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Robert Oram

Consultant

Bob Oram, the head of our securities industry practice, is a seasoned financial services professional who has worked at some of the nation’s largest broker-dealers. Branches managed by Bob underwent successful internal audits as well as audits performed by the NYSE, SEC and CBOE. His supervisory responsibilities included the following: review of all trading activity to assist in identifying potential infractions such as excessive trading (churning), excessive markups (commissions) and unsuitable recommendations. Bob has testified in broker arbitrations at FINRA arbitrations as well as in civil cases. He left the securities industry after 32 years with a spotless Form U4.