Expert Profile |
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With nearly three decades of experience, this securities compliance expert specializes in securities compliance, restricted securities and Securities and Exchange Commission (SEC) registration. Through her consulting firm, she performs valuations of restricted securities on publicly traded companies and pricing of stocks and bonds for tax filing. Previously, she served as the Director of Compliance at a securities firm.
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Expert Witness Experience
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- Testified at trial
- Testified in deposition
- Prepared expert reports
- Consulting
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Industry Experience
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- Consultant through a firm specializing in the internal standards and practices of broker-dealers
- Holds series 4, 7, 8, 14, 24, 27 and 63 securities licenses
- Authored several article of securities compliance issues
- Developed software to analyze the activity in investment accounts
- Member of the National Association of Compliance Professionals
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