À propos
Former FINRA and SEC regulator representing broker-dealers, investment advisers, fintech companies and other financial institutions in government and regulatory investigations and enforcement actions involving complex regulatory issues. Advises on anti-money laundering, Regulation Best Interest, supervision, conflicts of interest, disclosures, books and records, and registration and licensing issues including statutory disqualifications.
Domaines d’expertise
Securities EnforcementRegulatory InvestigationsAnti-Money LaunderingRegulation Best InterestRegistration and LicensingCompliance
Bureau
Expertise
Securities EnforcementRegulatory InvestigationsAnti-Money Laundering (AML)Regulation Best InterestSupervisionConflicts of InterestDisclosuresBooks and RecordsRegistration and LicensingStatutory DisqualificationsCompliance Systems