Ted Turner

CURRENT POSITION

CONTINUING EDUCATION

U.S.C.G. Officer Candidate School – LTJG

NASDR, Inc. Advanced Mediation Training – 1998

Cape Cod Dispute Resolution Center, Inc. – Annual training program 1996

Mediation Institute of America, Inc.: 1996 – 2004 (Florida Supreme Court certified program)

NASD course on securities arbitration: 1989, 1992, 1994, 1995. NASD Chairperson Training: 1997

AAA course on arbitration: 1991, 1992

Massachusetts Bar Association – New England Securities Conference: 1993

NYSE Arbitration Training Program – 9/93, 2/9/95, 5/97, 10/97, 9/98, 12/98, 9/03, 3/05

Pacific Mutual Life University 1997 – Estate Planning, UVLI, CRITS

Securities Compliance Seminars – 1995: John McGovern, 1996 – 2002: Richard Berenger.  NASD Firm Element 2001, 2002

New England Financial SPVL annual due diligence meeting – 1998

University of Miami School of Law Mediation Education Seminar – 10/02

Florida Supreme Court Qualified Arbitration certification training– 2002

NASD Dispute Resolution Mediation Focus Group Meeting 4/03 – Boca Raton, FL

NASD Spring Conference 5/03      

NASD Branch Office Conference 7/13/04 – Boston, MA       

All Firm Element exams and Branch Office exams: 2002 – 20011

AWARDS                        

Manager of the Year – Best Small Office 1988: Thomson McKinnon Securities

Dean Witter Top Municipal Bond Producer – 1992, Top ten Dean Witter Tournament of Champions – 1992

Thomson Funds President’s Council – 1993, 1994

PIMCO Advisors Funds Chairman’s Council – 1995, 1996, 1997, 1998, 1999 (#4 Producer for all PIMCO Funds in 1996)

Charter Member PIMCO Funds Coordinator’s Club

Recipient Linsco/Private Ledger’s Outstanding Client Service Award – 1994, 1995 Top Fixed Income Producer Award  – 1994,

Member: LPL Patriot’s Club – 1994, 1995

Member: Nathan & Lewis Century Club – 1995, 1996, 1997, 1998, 1999. President’s Club 2000, 2001, 2002

Member: Eaton Vance Leader Club – 1997 – 2005

Oppenheimer Director’s Council – 1999 – 2005

Nuveen Advisor’s Council – 1999, 2000: #1 C share producer for all Nuveen Funds in 1999

Fidelity Advisors Funds – Advisors Council 2002, 2003

#1 Producer Security Benefit Capital Preservation Fund – 2002

Recipient of the USCG Commendation Award

Player of the week USCG Football team

Barnstable High School “Hats Off” Civic award – March 1983

1987 Champion Offshore Power Boat Racing Association, Class A

Cape Cod Dispute Resolution Center Certificate of Appreciation for serving in Falmouth, Barnstable & Orleans District Courts

AG Edwards Crest Club 5/77 – 8/79

Quoted in Smart Money Magazine.

MEMBERSHIPS

Florida Academy of Professional Mediators, Inc., Cape Cod Community College Speakers Bureau, Hyannisport Yacht Club, Willowbend, Osterville Business & Professional Association, 100 Club, Osterville Anglers Club, Osterville Veterans Association.

More About Ted here.

President and CEO of Turner Lonergan Corporation:  Independent Contractors, Arbitrators, Mediators, Insurance Consultants and Finders. 7/93 – present .

Arbitrator and Mediator:  FINRA Arbitrator and Mediator #A04010.

PREVIOUS EXPERIENCE

Independent Contractor/Producing Branch Manager/Registered Representative

Walnut Street Securities Inc . – (Member: NASD, SIPC) General securities and all related business.  Clearing through Pershing LLC. 8/03 – 3/06

Nathan & Lewis Securities, Inc. – (Member: Boston Stock Exchange, NASD, SIPC.) Producing Branch Manager. General Securities and all related business. 7/95 – 8/03

Linsco/Private Ledger  – (Member: Boston Stock Exchange, NASD, SIPC.) Producing Branch Manager. General securities and all related business. 7/93 – 7/95

Producing Branch Manager/Registered Representative

Dean Witter Reynolds, Inc . – (Member: New York Stock Exchange, SIPC)Vice President/ Branch Manager.Initially managed and supervised brokers, trainees, operations personnel and sales assistants, then became producing Branch Manager. 3/92 – 7/93

Dominick & Dominick, Inc. – (Member: New York Stock Exchange, SIPC) Senior Vice President. Managed and supervised approximately 2000 retail accounts representing $100,000,000. Supervised brokers, coordinated and directed activities of operations personnel. Developed and procured liaison with Sandwich Co-Operative Bank and established ensuing satellite branch. Created and instituted Dominick & Dominick’s Platinum Check-a-Month Plan. Assisted in broker training and retention efforts throughout the branch system. 8/89 – 3/92

Thomson McKinnon Securities, Inc. – ( Member: New York Stock Exchange, SIPC) Vice President. Recruited to set-up, supervise and manage Hyannis office and subsequent branch in Osterville. Earned #9 rank on list of 1988 Leading Producers. Member President’s Club/Council 1979-1988. Most profitable office “per broker” 1988. Appointed to the Chapman Energy Broker Advisory Board. 8/79 – 8/89

A.G. Edwards & Sons, Inc. – ( Member: New York Stock Exchange, SIPC) Assistant Vice President.Recruited to enlarge market share on Cape Cod, ensure branch profitability and hire and retain new brokers. 5/77 – 8/79

RELATED EXPERIENCE

Mediator:  Past National Association of Securities Dealers (Evaluative), FINRA

Mediator: Supreme Court of Florida certified county mediator

Mediator: Cape Cod Dispute Resolution Center in cooperation with the Massachusetts Attorney General’s office and the Trial District Court Department – Barnstable, Falmouth and Orleans District Court

Arbitrator: New York Stock Exchange, Past National Association of Securities Dealers, Inc. (Chairperson), American Arbitration Association, Boston Stock Exchange Arbitration Committee,Past Boston Stock Exchange Hearing Committee, Past Municipal Securities Review Board, Past American Stock Exchange.

Arbitrator: Florida Supreme Court Certified Arbitrator

Notary Public: Massachusetts

Member: Boston Traders Association 1974-1985

Limited Intervener: Commonwealth of Massachusetts, Dept. of Public Utilities

Qualified securities professional witness: NASD Arbitration – in accordance with NYSE Rule 346 (for member firms – 2, against member firms – 5)

Panel Member: “Fundamentals of Securities Arbitration” with the Directors of the NASD and NYSE. Sponsored by the Massachusetts Bar Association, Business Law Section 1991-92

Past holder: USCG 100 mile-100 ton Captain’s license

Past Director and past member of the Advisory Committee: The Cove at Yarmouth – Yarmouth, Massachusetts

Past Elected Trustee: Harborside Inn, Edgartown, Massachusetts

Former Professor: Cape Cod Community College, Continuing Education Department (since 1973)

Associate Member: American Bar Association