Peter E Bulger
232 Westchester DR SO
Delmar, NY 12054
Complex matters and case analysis involving private funds, broker-dealers and investment advisers.
Clearing and custody arrangements; prime brokerage and clearance; supervision and suitability; trading; margin; fiduciary standard for advisers; corporate compliance process and procedures; broker-dealer financing; institutional equity research and trading; executive management and supervision.
Highlights of 2019
Represented an RIA in a contractual dispute over contact with clients.
Represented an RIA involved in a customer dispute involving suitability, supervision and options products.
Independent compliance consultant for a broker-dealer required to file a report pursuant to a consent agreement with a State regulatory agency
Drafted Reg BI procedure for a BD client
Consultant on a matter involving a clearing firm awarded a TRO and proving liability against another clearing firm in a contractual dispute
Former Investigator with NASD;
CCO; 30 years experience with two broker-dealers;
CCO; 10 years with RIA and hedge fund;
Litigation and Regulatory Analyst with Shearson Lehman;
Board Director, COO,CFO and CCO with institutional investment bank; and,
Board Director, CCO Paradigm Capital Management (RIA)
Over his 40 year career, Mr. Bulger has been active with organizations such as SIA, SIFMA, NOIP, NSCP and the Institute for Financial Management Regulation at the State University of New York, Rockefeller College and Albany Law School.
Oversaw organizations with more than 500 employees and advisers with more than $2 billion AUM.
Presently associated with Drivewealth, LLC, Chatham NJ- registered as 4,7,24, 27, 53, 63, 65, 87 & 99