Scales Consulting Group.
SCG's mission is to provide expert witness service and counsel those engaged in Securities arbitration, litigation, and mediation matters.
E. Steve Scales has over nineteen
years as a General Securities Sales Supervisor and Branch Office Manager for a major New York Stock Exchange firm, with experience supervising Registered Representatives dealing with equities, fixed income products, insurance, options, futures, and most other investment related products.
Since 2003, Mr. Scales has consulted in over 500 securities dispute matters and has testified in various forums over 150 times.
steve@ScalesConsulting.com
  • 2000 - present Board of Directors, Memphis Family Shelter
  • 1986 - 2003 Morgan Stanley, Senior Vice President, Branch Manager, Memphis, TN
  • 1984 - 1986 Dean Witter Reynolds Inc. (now Morgan Stanley) Vice President, Branch Manager, Nashville, TN
  • 1983 - 1984 J. C. Bradford & Co. Vice President - Sales Manager
  • 1978 - 1983 J. C. Bradford & Co. Nashville, TN Account Executive
  • 1975 - 1978 Vanderbilt University

Participation in various NYSE and AAA arbitrations as well as private mediations.

Licenses:

  • Series 3 - Registered Commodity Representative
  • Series 4 - Registered Options Principal
  • Series 5 - Interest Rate Options Representative
  • Series 7 - General Securities Representative
  • Series 8 - NYSE Branch Office Manager
  • Series 63 - Uniform Securities Agent
  • Series 65 - Uniform Investment Adviser

NASD Industry Arbitrator - 1992 to present
NASD Chairperson Securities Qualified 1996

references available on request.
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