Expertise
Broker-Dealer and Investment Adviser Industry Practice. FINRA Rules, Retail Sales Practices, Employment Disputes, Fiduciary Duty, Conflicts of Interest, Product Vetting and Due Diligence, Suitability, Supervision, Statutory Disqualification, SEC Registration, FINRA Membership Application (MAP/CMA process), Regulation R/Bank Networking Arrangements.
(For search purposes, not intended to be a comprehensive list)
Expertise
Broker-Dealer and Investment Adviser Industry Practice. FINRA Rules, Retail Sales Practices, Employment Disputes, Fiduciary Duty, Conflicts of Interest, Product Vetting and Due Diligence, Suitability, Supervision, Statutory Disqualification, SEC Registration, FINRA Membership Application (MAP/CMA process), Regulation R/Bank Networking Arrangements.
(For search purposes, not intended to be a comprehensive list)
Jeff Holik is an attorney and seasoned financial services professional with 25 years of securities industry experience. Jeff's expertise reflects his long tenure as a senior leader with NASD Regulation (now FINRA), during which he served as general counsel and senior vice president for member regulation, followed by many years as chief legal officer of the broker-dealer and retail investment adviser affiliates of a large national bank. Jeff's foundational experience as a litigator at two national law firms helped him develop strong testimonial and report writing skills.
Curriculum Vitae
SER Voting Member
