Remember The Big Picture
Are you swimming upstream with compliance?.
|Provide expert testimony to support broker-dealer defense efforts.|
|Assist legal counsel with case analysis, defense case design and hearing session analysis. performed forensic audit for representative’s actions|
|In coordination with legal counsel, provide consulting services to mitigate regulatory action and correct deficiencies.|
|Designed and creation of Firm Element Continuing Education programs including course designed in review, selection of course vendors, and tracking.|
|Before you go out and purchase another broker-dealer or advisor, call us for assistance in conducting a thorough background review of the Firm to be acquired including a review of finances, types of business, registered representatives, E&O claims, etc. All the information you need to make the right decision.|
|Provide ongoing compliance consulting service to broker-dealers and investment advisers is a resource and complement to your existing compliance program. Provide special project guidance and resource personnel. Various service plans available. Call for details.|