Expert Services- Consulting

Audits:

Audits to confirm your WSP are working-

  • FINRA 3120 and

  • RIA 206(4)-7 ).

  • Custom assistance with modeling  your WSP for your business.

  • BSA/AML (Bank Secrecy Act, Anti-Money Laundering) certification, in compliance with FINRA 3310.

  • Branch Audit, Surprise Audits for OSJ regional or local branch offices

Registered Investment Adviser (RIA):

  • Custom RIA Brochures & Brochure Supplements

  • IARD Filing assistance

Expert Services-

Regulatory Issues, Mediation, Arbitration or Court, as a consultant or Expert Witness

Having worked for regulatory agencies as consulting securities expert, plus having interfaced with them as the Firms Liaison my experience lends insight into various situations.  Since 1987 I've been retained for over 500 cases, reviewed documents, assisted with requests, and contributed towards resolutions with SRO's.  I've testified as an Expert Witness on over 100 cases with several resulting in punitive damages.