Expert Services- Industry Consulting
You need policies that can stand up and face regulatory inspection for best practices, experienced expert services for:
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.
To confirm your WSP's are working: Branch Audits, Surprise Audits for OSJ regional or local branch offices
Registered Investment Adviser (RIA):
Custom RIA Brochures & Brochure Supplements
IARD Filing assistance
Regulatory Issues, Mediation, Arbitration or Court, as a consultant or Expert Witness
Experience counts. 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. My experience includes being a FINRA Arbitrator, participating in mediations, helping Firms with regulatory audits. Email or Call for further information, a copy of my CV or to discuss your situation.