Geraldine Genco Dube

Principal, Geraldine A. Genco Consulting
7 Country Club CIrcle
Tequesta, FL 33469

Work: 561 745-3893
Fax- 561 745 3894

Ms. Genco provides consulting services regarding Compliance for Broker/Dealers and Investment Advisers. As a former head of Compliance for 3 Firms, she was responsible for Registrations, Advertising, Suitability, Supervision, Exception Reporting, Private Placements, Variable Annuities, Anti-Money Laundering (AML) and was the Firm's liaison for Self-regulatory Organizations (“SRO”). She is domiciled in Florida.

Geraldine Genco (“GG”) Dube has provided Compliance Consulting & Expert Witness services since 1991.  Her career began in 1987 in New York City with a private banking affiliate of Chemical Bank.  She has held the folllowing certifications, Series, 24, 7, 79, 99, 65 and 63. She has been retained for more than 500 cases and testified over 100 times.  Her services include Customized Compliance Support, Case evaluation, AML Certification, Custom WSP & RIA Brochures and MIS exception systems.

She is a FINRA Arbitrator, Mayor emeritus for Tequesta, Florida and 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.  She is a Former Board Member for the Securities Experts Roundtable, and a member since 1997. She has served several other non-profit agencies in various capacities.

All services provided are confidential.