Expert Resume/CV

Charles F. Weaver, Jr.
51 Steam Gin Loop
Cle Elum
United States


Short Description:

Mr. Weaver has an active practice as an expert witness to the financial securities industry, representing attorneys for both broker/dealers and consumers in routine and complex securities matters.


Mr. Weaver has an active practice as an expert witness to the financial securities industry, representing attorneys for both broker/dealers and consumers in routine and complex securities matters.  Prior to developing this business, Mr. Weaver was associated with Merrill Lynch, Pierce, Fenner & Smith, Inc. for over 41 years.  At the time of his retirement in July of 2002 Mr. Weaver was the Managing Director responsible for the Pacific Northwest region, a six state territory covering Washington, Oregon, Montana, Idaho, Alaska and Wyoming.

During his 41+ year tenure at Merrill Lynch, Mr. Weaver held every position in the branch office system.  He began as a Margin, Options and Commodity Specialist in 1961 and advanced to become one of the top Operations Manager in the country.

In 1981, after a long and successful career on the operations and compliance side of the securities industry, Mr. Weaver switched to the sales side of the business.  He became the Producing Manager of the Wilkes-Barre, Pennsylvania office and an Executive Club member at this level.  Over the course of the next several years he advanced to the position of Vice President in late 1983 and was subsequently appointed First Vice President in 1990 and Managing Director and Senior Vice President in early 2000.

As an expert witness, Mr. Weaver has vast experience in all compliance and regulatory matters covering stocks, bonds, options, commodities and futures, variable and fixed annuities, limited partnerships and hiring and competitive security issues.  His 41+ years experience at almost every level has proved invaluable in supporting attorneys in securities related litigation and arbitration,  These include suitability, fraud, sales practice violations, employment disputes and wrongful termination.

If you are in need of his services, Mr. Weaver can be reached at the telephone numbers listed above or through his email, also listed above.

Respresentative Cases:

Expert testimony on retail brokerage issues                                 2002 - present

?  Bates Private Capital

?  Hillis, Clark, Martin & Peterson

?  Zeno, Drake & Hively, P.S.

?  McDougald & Cohen, P.S.


Merrill Lynch & Co.

?  Managing Director & Senior V.P., Pacific NW District               2000-2002

?  District Director, First Vice President, Bellevue, WA                1990-2000

?  Resident Vice President, Bellevue, WA                                 1984-1990

?  Sales Manager, Allegheny Complex, PA                                1983

?  Resident Manager & Financial Advisor,  Wilkes-Barre, PA    1981-1982

?  Administrative & Compliance Manager,  Sales Manager, Pittsburgh, PA 1979-1980

?  Operations Manager, Washington D.C.                                  1972-1979

?  Operations Manager, Baltimore, MD                                     1969-1972

?  Operations Manager, Youngstown, OH                                   1968-1969

?  Operations Manager, Fort Lauderdale, FL                               1967-1068

?  Operations Supervisor, Allentown, PA                                    1965-1966

?  Sales Assistant, Allentown, PA                                             1963-1965

?  Margin, Commodities & Options Specialist, Allentown, PA    1961-1963 


?  Spotless compliance and regulatory record for over 41 years

?  Top Operations Manager, 1972, 1973, 1974

?  Hired and recruited over 1,000 Financial Advisors

?  Under my leadership the Pacific Northwest District generated annual revenues of $400 million and pre-tax profit of $100 million (1997-2000)

?  Pacific NW District ranked #1 in revenue, profit and asset growth in years 1997 - 2000

?  Held all supervisory and principal registrations.  Securities, options principal, commodities, insurance, municipal bonds, etc.  


?  Management and Leadership Courses, Wharton School, Harvard University and Stanford University

?  Management Development Program, Merrill Lynch, NY

?  Resident Manager Training Program, Merrill Lynch, PA

?  Compliance & Administrative Development Program, Merrill Lynch, PA

?  Operations Management & Development Program, Merrill Lynch, NYC


?  Past Chairman, Merrill Lynch Invitational

?  Golden Eagle, NRA

?  Past Chairmen, East Fishing Association

?  Founder NW Children’s Alliance

?  YMCA Supporter, Seattle, WA

?  Past Chairman, Lakes Club, Bellevue, WA

?  Member  of Tumble Creek Golf Club

?  USOC, State of Washington