Geraldine Genco (“GG”) Dube has provided Compliance Consulting & Expert Witness services since 1991. Her financial career began in 1987 with The Portfolio Group, a private banking affiliate of Chemical Bank located in New York City. She has held the following certifications: Series- 24, 7, 79, 99, 65 and 63. She's been retained more than 500 times and testified over 100 times. Her Compliance services are customized for the Firm (AML Certification, Custom WSP & RIA Brochures and MIS exception systems) and legal assistance includes case evaluation, reports and testimony.
A FINRA Arbitrator, Mayor emeritus for Tequesta, Florida and she has served on the Board of several Pension funds. A former Board Member for the Loxahatchee River Coordinating Council, an agency created by the State of Florida operating under federal guidelines. A Board Member for the Securities Experts Roundtable, and a member since 1997. She has served several other non-profit agencies in various capacities.
For a copy of my CV please send an inquiry to the above email, also include case name for a conflict check. Thank you.
SER Voting Member
