-
Broker-Dealer Consulting Projects
Experience Matters -
FINRA Compliance & AML Services
Leverage Our Expertise -
Securities Expert Witness & Litigation Services
Our Unique Strengths
Founded in 2012, our clients are primarily from the broker-dealer community, including Introducing Brokers, Correspondent Clearing firms, Self-clearing, and Start-up broker-dealers. We add to this mix the closely related group of Registered Investment Advisors (RIAs).
Over the years, we expanded our consulting specialty to offer even more compliance-related services. For one key service, we obtained an anti-money laundering (AML) specialist certification, which quickly developed into providing broker-dealers with the annual AML testing regulations required.
We also established a business line that provides securities expert witness and litigation support. This proved to fit our consulting model like a hand-in-glove! Our practical knowledge and experience with operational and compliance issues proved to uniquely position us to provide Expert Witness support.
Today, we were particularly proud to highlight our Testimonials page, where our past clients speak to your success. We look forward to forming more strong relationships and are committed to ensuring that the corner of Bedford and Main is a great place to do business.