Jeffrey Holik  

Founder, SRQ Regulatory Services LLC
1255 N Gulfstream Ave, Suite 206
Sarasota, Fl 34236

Work: (941) 706-0495
Cell: (941) 259-7419
jeffreysholik@gmail.com
LinkedIn

Expertise
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.

Bio
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.

Curriculum Vitae