Stuart Ober - Securities Investigations, Inc.



Stuart Ober
Securities Investigations, Inc.
2626 Route 212 P.O. Box 888
Woodstock, NY 12498

(845) 679-2300

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Stuart Ober
Securities Investigations, Inc.

Expert Profile

(845) 679-2300


Stuart Ober has over thirty years experience as a securities professional and twenty years as an expertHe is a consultant and expert in investor-broker arbitration and litigation, including suitability, compliance/supervisory failure, fiduciary responsibilities, broker conduct, asset allocation, due diligence, selling away, damage calculations, limited partnerships, investments, tax shelters and disclosure responsibilities

Securities Investigations, Inc.
specializes in conducting due diligence investigations and in providing investment evaluations in all areas, particularly those relating to a) securities offerings; b) real estate; c) oil and gas; d) equipment leasing; and e) research and development. The client group of the firm has included New York Stock Exchange member firms, members of the National Association of Securities Dealers, major life insurance companies, major accounting firms, financial advisors, offering sponsors, and individuals.

Securities Investigations, Inc. is a consultant to major financial institutions and insurance companies, providing a broad range of services including expert advice, analysis and structuring of investment opportunities, as well as preparation of sales materials and training for their sales forces.

The firm's president, Stuart Ober, CFE, AIFA®, formerly employed by Wall Street brokerage firms, founded and managed the Tax Investment Department at Bruns, Nordeman, Rea and Company (now Prudential Financial, Inc.). Mr. Ober became an independent consultant in 1979 and in that same year authored Everybody's Guide to Tax Shelters. He has contributed numerous articles on tax shelters and other financial matters and has been quoted in leading publications, including The Wall Street Journal, The New York Times, Barron's, Forbes, Money, Research Institute of America, Dun and Bradstreet Magazine, Financial Planning, and Financial Review. He has lecturered at tax shelter seminars and talk shows throughout the country. Included in Who's Who in America, Who's Who in Finance and Industry, and the Dictionary of International Biography, Mr. Ober graduated from Wesleyan University (BA), and attended the Sorbonne (MA Program) and City University of New York (MBA Program).

Securities Investigations, Inc. provides the following consulting and information services:

  • Intensive Due Diligence Studies Desktop Program Reviews
  • Monitoring Ongoing Offerings Economic Research and Analysis
  • Strategic Investment Research Property and Product Analysis
  • Program Management Evaluations Strategic Interpretation of Trends
  • Competition Analysis and Market Studies Financial Forecasts
  • Fairness Opinions Investment Valuations
  • Marketing Services Investment Structuring
  • Sales Force Training Seminar Presentations
  • Expert Witness Testimony