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Financial Crimes Compliance Expert specializing in AML & Fraud litigation,

AML Audits (FINRA Rule 3310), Risk        Assessments & Remediations for Broker Dealers, Institutions & Individuals.

Brooklyn Bridge View

WELCOME

Allow me to provide customized services which will help you win disputes, avoid costly fines, facilitate asset retention, and optimize your time. My years of experience, expertise and practical business knowledge include Financial Crime Compliance, Fraud and Market Abuse. Get the help your business needs to maximize your chances of success in regulatory, ADR and legal matters.


Clients Include:

  • Elder Financial Exploitation ("EFE") Victims

  • Law Firms

  • Financial Services Entities

  • Small Broker Dealers

  • Institutional Broker Dealers

  • Investors

                              Services Provided Include:
 

Expert Witness

I will provide focused guidance in a variety of matters including litigation (pre-trial, document production, deposition preparation, negotiations, testimony, etc.), arbitrations, mediations and other disputes. Allow me to pinpoint regulatory issues, aid with detailed document production / document requests guidelines and analyze your opponent’s expert testimony. My expertise in AML issues can advance your positions in negotiations and settlements to obtain an optimal resolution.

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As a FINRA certified Arbitrator and Chairperson, I have the knowledge to narrow the scope of information needed to fully assess AML Compliance and Fraud disputes. Also, my Compliance Officer experience provides detailed day-to-day knowledge of a compliant AML and Fraud Management program. Further, my assessments and testimony have aided victims of EFE in numerous matters.

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Financial Crime Risk Assessment

Avoid unnecessary penalties by obtaining a review of your current AML procedures and let me find risks before fines and regulatory sanctions are imposed against your company.​​​

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FINRA Rule 3310 AML Audits

I will perform 3310 audits and recommend practical solutions to upgrade AML Compliance processes in areas ripe for improvement. My guidance will include recommendations for cost savings and efficiencies enabling adherence to regulatory and legal obligations.  Training is also available to keep your company’s Compliance Program up-to-date.

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Broker Dealer Resolutions & Remediation Assistance

Review audit findings for small and Institutional Broker Dealers and provide guidance to remedy any deficiencies in your Financial Crime Compliance Program.  I will collaborate with you in drafting, training, and implementing enhanced programs to reach successful resolution of regulatory findings.

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FINRA Arbitrations

I am a certified FINRA Arbitrator and Chairperson with experience in Alternative Dispute Resolution (ADR).  My personalized attention to your matter is enhanced by my years of practical business knowledge and strategies for positive outcomes. Let my skills save you time and money.  My training will help move matters toward prompt, successful resolutions.

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