Financial Services Consulting

Registered investment advisors and broker-dealers both face a myriad of securities regulations today. To understand them all is nearly impossible. To incorporate them all into daily business life is a challenge. To stay in compliance with them all is downright daunting. But not as daunting as the potential liability of not doing so. This is where I can help.

Prevention is the best medicine

For more than 30 years, I've worked in the complex, ever-changing milieu of securities regulations. In that time, I've built a track record for helping clients set up systems and procedures that prevent trouble before it happens.

Creating the architecture, tightening the bolts

Among the services I can provide:

Audits

Compliance, fiduciary and regulatory audits and consulting for Investment Advisers and Broker-Dealers

Formation

Consulting as to Investment Adviser formation and related issues

Internal Controls

Preparation of Written Supervisory Procedures, Compliance Manuals & Codes of Ethics for broker-dealers and investment advisers

Education

Firm element surveys and educational seminars, including Ethics Continuing Education

The assistance I provide can help your firm be better prepared for audits, avoid miscommunications that create unhappy clients and be better protected against the cost and stigma of lawsuits.

Reputations upheld

Being the subject of a regulatory investigation or enforcement action requires experienced counsel. I assist in the defense of individuals and firms in SEC, FINRA and state actions.