Managing Principal, V&V Consulting Group, LLC
2525 Ponce de Leon Blvd Suite 300
Coral Gables, FL 33134
Banks, Broker-Dealers, Investment Advisors, Hedge Funds, Insurance Companies, Issuers
Areas of expertise: Suitability, Failure to Supervise,
Breach of Fiduciary Duty, Misrepresentations & Omissions, Securities Fraud, Churning,
Reverse Churning, Ponzi Schemes, Misappropriations,
Trading Issues, Back Office Issues, Selling Away,
Investments in: Stocks, Penny Stocks, Foreign Securities, Fixed Income Securities & Municipals,
Hedge Funds, Structured Products, Alternative Investments, Annuities, Insurance Products,
Mutual Funds, ETFs, Public or private securities offerings,Restricted Securities,Rule 144, Reg. D,
Case review and assessment.
Discovery documents review & recommendations. Preparation for depositions, interrogations.
Review of opposing expert testimony, reports.
Preparation of reports & demonstrative exhibits that organize and consolidate data & clearly support conclusions
Vivian Velazquez is the founder of V&V Consulting Group, a boutique consulting firm in S Florida offering expert witness, litigation support and regulatory compliance to domestic and offshore banks and financial institutions, broker-dealers, investment advisors and hedge funds.
Vivian has over 25 years of industry experience in the private and regulatory sectors. She previously held senior compliance positions at global and national financial institutions with billions in assets under management and offices throughout the U.S and Latin America. Vivian played a leading role in the successful launch of the broker-dealer subsidiary for a global European bank, supported major conversions, mergers, business restructurings, Anti-Money-Laundering regulatory look backs and remediation mandates for leading US financial institutions.
She is a former Branch Chief at the SECís Miami office where she managed the examination program for broker-dealers and transfer agents in Florida, Puerto Rico, Bermuda and the Caribbean. She conducted and supervised examinations of dually registered broker-dealers/investment advisors and hedge funds and had oversight for the NASD (now FINRA), Atlanta office and NYSE exams in the region. Earlier in her career, she was a Senior Examiner/Field Supervisor for the NASD in NY and CO.
Vivian also previously worked for a large insurance company in NY and had responsibility for maintaining regulatory compliance for the affiliated subsidiaries including the broker-dealer, investment advisor, proprietary mutual funds and variable insurance separate accounts.
Vivian has provided expert witness and litigation support in depositions and hearings to SEC and NASD enforcement attorneys and in private litigation. She is a trained FINRA arbitrator. She holds a B.B.A in International Finance and Marketing from the University of Miami, Coral Gables, FL. Vivian is a Wharton School of Business Certified Regulatory and Compliance Professional (CRCP).