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Compliance Consulting Expert #9124

I have 33 years of experience, and specialize in the field of securities compliance and investment advisor compliance with specific knowledge in the areas of Financial Industry Regulatory Authority, Inc. (FINRA) rules and regulations, U.S. Securities and Exchange Commission (SEC) rules and regulations and investment advisor rules and regulations. I have testified 20 times on topics such as FINRA rules and regulations, SEC rules and regulations and investment advisory rules and regulations.

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