ARC Analytics LLC


Coletta L. Dorado

2002 to present:
Partner and Director of ARC Analytics, LLC a securities litigation consulting firm specializing in the analysis of financial statements. Services include analysis of activity in financial investment accounts and the preparation of damage reports, asset allocation and special reports with expert witness testimony on these analyses and consultation on securities litigation matters. Since 2002, ARC Analytics has analyzed thousands of accounts. ARC Analytics Reports have been introduced in settlement discussions, Mediations, Arbitration hearings and at Trial. Testified at Arbitration Hearings and Court Trial on ARC Reports. FINRA Industry Arbitrator approved in 2007.

1985 through July 2001:
Actively involved in the securities industry for over 25 years*, primarily in a Securities Principal, Supervisory, Executive Management Position and Senior Management Trading Position.

Experience: Areas of Expertise: Trading- Institutional and Retail, Stocks, Bonds, Mutual Funds, Options, Best Execution, Block Trading, Restricted Securities, Unauthorized Trading, Rescissions, Trade Cancel and Rebills, Margin, Risk Management, Annuities, Selling Away, Short Selling, 144 Sales, Hedges, Account Analysis, Compliance, Exception Reports, Hiring and Firing Practices,Trading Written Supervisory Manuals, Customer Account Forms and Agreements, Broker Dealer Internal Documents, Misrepresentation, Customer Complaints, FINRA, SEC and State Rules and Regulations, Trading Supervision, Suitability, Cost to Equity, Turnover, Syndicate Offerings, Investment Banking, Initial Public Offerings, Secondary Offerings, Private Placements.

January 2000 through July 2001 Managing Director, First Union Securities Financial Network, Inc.

*December 1985 through December 2000 Executive Vice President, Syndicate Manager, Director of Equity Trading for Corporate Securities Group, Inc. Name changed in 1998 to JWGenesis Financial Services, Inc. In January of 2001 the parent company, JWGenesis Financial Corp. was acquired by First Union Corporation and name changed to First Union Securities Financial Network, Inc.
From December 1985 until December 31, 2000 - Executive Vice President, Syndicate Manager, Director of Equity Trading for the affiliated broker dealers: JWGenesis Securities, Inc. member NYSE and NASD; JWGenesis Clearing Corp., member NYSE and NASD (sold to Fiserv Corp. in November 1999); DMG Securities, Inc., member NASD; JWGenesis Financial Group, Inc. member NASD.
From July 1976 until November 1985 – Series 7 licensed, General Securities Representative at various NASD and NYSE Broker Dealers. Obtained Series 24 license, General Securities Principal License in 1984.

Professional Licenses held during Industry Career

  • Series 7 - General Securities Representative – 1976
  • Series 63 - Uniform Securities Agent – 1980
  • Series 24 - General Securities Principal – 1984
  • Series 55 - Equity Trader - 1999

Professional Associations, Seminars and Speaking Events, Articles

  • 2007 and 2008, Member Securities Experts’ Roundtable(SER)
  • 2003 and 2004, Co-author Articles on Various Compliance Issues
  • 2002, Member of Security Traders Association (National) - Trading Issues Committee
  • 2001 and 2002, Panelist, NASD Institute for Professional Development (Surveillance and Sales and Trading Practices issues)
  • 1999 to 2001, President, Security Traders Association of Florida
  • 1999 to 2001, Member, Knight Trading Group, Customer Advisory Committee
  • 1990 to 2002, Board Member Security Traders Association of Florida
  • 1990 to 1999, Panelist, NASD District 7 Seminars on Sales Practice Issues
  • 1985 to 2001, Moderator/Panelist, Security Traders Association of Florida (Best Execution, Decimalization, Oats, Trading Practices, Order Routing and Disclosure, Rules 11ac1-5 and 11ac1-6)

Education

  • 1976 - State University of New York at Buffalo, Bachelor of Arts School of Management
  • 1996 through 2001 – NASD Continuing Education Program: Insider Trading, Institutional Suitability and Sales Practices, Equities.

Additional Training

  • 2007 - FINRA Arbitrator Approval
  • 2007 - NASD Dispute Resolution Revised Code of Arbitration Procedure Training
  • 2006 - NYSE Industry Arbitrator Approval
  • 2006 - NASD Direct Communication Rule
  • 2006 - NASD Understanding the Pre hearing Stage
  • 2005 - NASD Arbitrator Panel Member Training Program, Boca Raton
  • 2005 - NASD Civility in Arbitration, Boca Raton
  • 2005 - NASD Your Duty to Disclose
  • 2005 - NASD Discovery, Abuses and Sanctions
  • 2005 - NASD Expungement

Community Service

  • 2004 to present - Eucharistic Minister, Holy Cross Catholic Church, Vero Beach
  • 2004 to 2008 – Youth in Action, Indian River County

ARC ANALYTICS, LLC 8177 GLADES ROAD, SUITE 210 BOCA RATON, FL 33434
561.852.1936

Updated March, 2008