Compliance Consulting  

  • Expert Witness
  • Litigation Support
  • Directed Consulting
  • Continuing Education
  • Mergers
  • Compliance Resource



Remember The Big Picture

Are you swimming upstream with compliance?.

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.
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.