Securities Industry Expert

This securities industry expert is an experienced expert witness and has testified in arbitration hearings. She is a Certified Financial Planner (CFP), a Certified Regulatory & Compliance Professional (CRCP), and has an MBA in finance. She has over 25 years of securities industry experience, including both practical and regulatory broker-dealer experience. She is the founder and president of a broker-dealer regulatory compliance consulting firm. She is also the president of a firm specializing in investment banking, corporate finance, and mergers and acquisitions. She has also served as a Senior Compliance Examiner for the National Association of Securities Dealers (NASD), now known as the Financial Industry Regulatory Authority (FINRA).

She is experienced as an expert witness and has testified in arbitration hearings.

• Over 25 years of securities industry experience
• Founder and president of a broker-dealer regulatory compliance consulting firm
• President of a firm specializing in investment banking, corporate finance, and mergers and acquisitions, where she is responsible for compliance with all applicable FINRA, Securities and Exchange Commission (SEC), and state rules and regulations
• Previously served as Interim President and CFO of a boutique investment banking and securities brokerage firm
• Held financial and compliance positions with several firms and government organizations, including Merrill Lynch and The United States Small Business Administration
• Member, FINRA District 7 Committee

• MBA, Finance
• BBA
• Certified Financial Planner (CFP)
• Certified Regulatory & Compliance Professional (CRCP)
• FINRA Series 4, 7, 24, 27, 28, 53, 63

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