Jeffrey Holik |
Founder, SRQ Regulatory Services LLC
1255 N Gulfstream Ave, Suite 206
Sarasota, Fl 34236
Work: (941) 706-0495
Cell: (941) 259-7419
FINRA Rules, Retail Sales Practices, Employment Disputes, Fiduciary Duty, Conflicts Management, Product Due Diligence, Suitability, Supervision, Statutory Disqualification, SEC Registration,
FINRA Membership Application (MAP/CMA process), Regulation R/Bank Networking Arrangements.
Jeff Holik is a seasoned attorney and financial services professional with 25 years of securities industry experience. Jeff's work reflects perspectives earned from 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.