Ben Lubin has over 50 years of experience in the securities industry. During this time, he served as a director and audit committee chair of 3 public securities firms and numerous industry committees and boards.
His expertise includes regulatory, sales practice and capital compliance, operations, clearing firm issues including liability, procedures, comparison and settlement and internal controls.
A former Director of SIA, DTCC, and Governor of NASD. He provides Consultation and Testimony and specializes in clearing firm issues and liability, margins, compliance, brokerage firm operation, and firm capital issues. Contact: secind@aol.com
SER Voting Member
