Qualifications

Mr. Cavalier is an active member of the California State Bar and has been appointed as a Designated Advisor for Disclosure (DAD) for OTCQX U.S. and a Principal American Liaison (PAL) for International OTCQX.  He is a securities professional knowledgeable in both the disclosure requirements of U.S. securities laws and the most effective investor communications practices.

He is an experienced middle market investment banker and former member of the Chicago Mercantile Exchange, Pacific Stock Exchange and Sydney Futures Exchange.  He is a recognized expert in securities and broker fraud matters including appearances in U.S. Federal Court, criminal trials, CFTC hearings and all arbitration venues.  

Mr. Cavalier is qualified to serve as a chairman for FINRA arbitration panels.    


He also serves as General Counsel for sponsors of Regulation D oil & gas and real estate private placement investments and for emerging private companies.