Managing Partner, Your Securities Consultants, LLC
16035 Rosecroft Terrace
Delray Beach, FL 33446
Failure to Execute Trades
Misrepresentation and Omissions
Sander Resslerís expertise in financial services compliance and operations is broad, deep and current. He has more than 20 years of hands-on, frontline experience with broker-dealers and registered investment advisers. Sander began his career working for a regulator and subsequently assumed senior compliance positions for financial services companies including, but not limited to: American Express, American General Life Insurance, AIG, ING and Societe Generale.
Most recently, Sander has focused his efforts on assisting financial institutions with compliance-related issues such as anti-money laundering, fraud prevention and remediation, supervision, independent internal investigations and procedural testing. With a nation-wide portfolio, he has led more than 20 regulatory examinations conducted by the SEC, FINRA, and various state departments governing banking, securities and insurance. Sander has performed more than 90 branch office exams for independent broker/dealers and RIAs in the last 5 years.
As part of his consulting practice, Sander has served as an expert witness in 140+ arbitrations and 20 mediations on broker/dealer issues. Further details are online at:
He currently holds the Series 7, 24 and 63 securities licenses.