Qualified as a Testifying Expert in Federal Court and FINRA Arbitrations in Broker-Dealer cases involving AML, Fraud, Cybersecurity, KYC, Day Trading and SEC Rule 15a-6.
Thirty(30) years of experience as a Financial Crime Compliance ("FCC") Senior Manager building Anti-Money Laundering (“AML”), KYC, Enhanced Due Diligence and Fraud Management programs in the Broker-Dealer space. Specialized in the management of Suspicious Activity Report (“SAR”) investigations of money laundering, customer suitability, KYC, market manipulation, penny stock fraud, cybersecurity, and high-risk products.
Served as a member of Senior Management Compliance and Operational Risk Committees covering internal and external risks (i.e., Employee Abuse, Penny Stock Trading, KYC, High-Risk Products and Risk Assessments).
As an FCC Subject Matter Expert ("SME"), appeared as both a Moderator and Panelist at industry conferences including in Washington D.C. at the Congressional Taskforce on Terrorism and Unconventional Warfare.
Active FINRA Arbitrator and Chair for ten(10)+ years.
Available to assist with the analysis of broker-dealer transactional data, regulations, policies, procedures and controls. Will assist in the preparation of complaints, responses, and expert reports utilized during settlement negotiations. Available to testify as an SME Witness.
Testimony Experience:
*2024: Federal Court: Testified on behalf of SEC in 15a-6 & Day Trading Litigation
*2024: FINRA Arbitration: Testified as an AML, Fraud, Cybersecurity SME
*1987-1990: Enforcement Hearings on behalf of FINRA
*1990-1997: FINRA Arbitrations: Fact Witness for Prudential Securities
Settlement Experience:
*2024: FINRA Mediation: Prepared report on Elder Abuse, Cybersecurity, KYC and Suitability for use in settlement negotiations.
*2021: Prepared analysis on penny stock abuse, suitability and KYC for a State Securities Enforcement Agency for use in an enforcement action.
SER Associate Member
Curriculum Vitae