Jeff Holik is a seasoned attorney and financial services professional with 25 years of securities industry experience. Jeff's work reflects his long tenure as a senior leader with NASD Regulation (now FINRA), followed by many years as chief legal officer of the broker-dealer and retail adviser affiliates of PNC Bank. Jeff's foundational experience as a litigator at two national law firms contributes to his superb testimonial skills.
Jeff accepts engagements involving a variety of issues with focus on retail securities sales practices, FINRA rules and policy, and industry compliance practices. Jeff has been qualified as an expert in numerous contested matters.
Curriculum Vitae