| Compliance Consulting | ||
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Remember The Big Picture |
Are you swimming upstream with compliance?. |
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| Expert Witness | ||
| Provide expert testimony to support broker-dealer defense efforts. | ||
| Litigation Support | ||
| Assist legal counsel with case analysis, defense case design and hearing session analysis. performed forensic audit for representative’s actions | ||
| Directed Consulting | ||
| In coordination with legal counsel, provide consulting services to mitigate regulatory action and correct deficiencies. | ||
| Continuing Education | ||
| Designed and creation of Firm Element Continuing Education programs including course designed in review, selection of course vendors, and tracking. | ||
| Mergers | ||
| 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. | ||
| Compliance Resource | ||
| 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. | ||