Peter E Bulger


TIA
232 Westchester DR SO
Delmar, NY 12054

Work: 518-588-1820
Cell: 518-588-1820
peb@tiagroup.com
Website

Expertise
Complex matters and case analysis involving private funds, broker-dealers and investment advisers

Clearing and custody arrangements; prime brokerage and clearance; supervision and suitability; trading; margin; fiduciary standard for advisers; corporate compliance process and procedures; broker-dealer financing; institutional equity research and trading; executive management and supervision.

Highlights of 2019

Representing an RIA in a contractual dispute over solicitation of clients.

Represented an RIA involved in a customer dispute involving suitability, supervision and options products.

Hired as an independent compliance consultant by a broker-dealer to assess and write a report and make suggestions for changes in the firmís WSP and technology, which is being offered to a State regulatory agency pursuant to an order.

Engaged as a consultant and strategist in arbitration involving a contractual dispute between two clearing broker-dealers.

Bio
Former Investigator with NASD;
CCO with First Albany Corporation;
Litigation and Regulatory Analyst with Shearson Lehman;
Board Director, COO,CFO and CCO with CL King and Associates; and,
Board Director, CCO Paradigm Capital Management (RIA)

Over his 40 year career, Mr. Bulger has been active with organizations such as SIA, SIFMA, NOIP, NSCP and the Institute for Financial Management Regulation at the State University of New York.

Oversaw organizations with more than 500 employees and advisors with more than $2 billion AUM.

Presently associated with Drivewealth LLC, Chatham NJ-
registered as 4,7,24, 27, 53, 63, 65, 87 & 99