1990 - Present:
Provided expert testimony in several matters, including compliance with federal
and state law (Cal. Corp Code 25400 et. seq. & 1933 and 1934 Securities Act) as
well as conducted hundreds of Arbitrations and/ or Mediations in the fields of securities
& and or securities fraud, non-suitability, failure to execute trades, breach of
broker-dealer standard of care; failure to disclose, unsuitability, excess and breach
of fiduciary duty on behalf of the American Arbitration Association, as well as
Pacific & New York Stock Exchanges.
Represented numerous clients re security issues; including asset purchases, acquisitions,
broker disputes; suitability issues; failure to execute authorized trades; and breach
of fiduciary duty issues as well as standard of care issues. Remaining aspects of
my private practice of law includes contract and business transactions and other
civil litigation, licensure issues; as well as real estate; software, licensing,
and development contracts & business transactions between the USA and Japan.
1981 - 1989:
General counsel and Chief Financial Officer for Fayette Manufacturing Corp., and
the limited Partnerships known as Wind Energy Technology Associates I & II & III.
Fayette grew from $1,000,000 per year in 1981 to $65,000,000 in 1984. This included
sales of wind turbines through complex multi-million dollar tax shelter securities,
investment contracts, numerous limited partnerships, corporate sales, leasebacks
and private placements.
Engineered acquisition of Fayette by New York Stock Exchange Company, Catalyst Energy,
including all aspects Due Diligence, tax ramifications, audits, fair value and legal
opinions. Responsibilities included all aspects of securities compliance (both federal
and state); litigation; negotiation; drafting, development and structuring of these
securities; as well as both financial and legal analysis of all aspects of multi-million
dollar transactions, including substantial commercial loans--included several international
These aspects included the drafting of investment prospectuses and limited partnership
agreements and creating corporate and transactional structures. Additional responsibilities
included every aspect of corporate trouble shooting; including but not limited complying
with both federal and state security regulatory requirements.
John S. Preston
1060 Clarendon Crescent
Oakland, California 94610
Copyright © 2012 by John S. Preston.
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