President, B/D Compliance Associates, Inc.
127 Main Street NW
Lilburn, GA 30047
I have offered my expert witness services for the past 25 years and specialize in broker/dealer compliance, supervision, supervisory systems, suitability, investment analysis, private placements, public offerings, due diligence, employment disputes, main and branch office compliance reviews and anti-money laundering.
I am a former retail broker and former Senior Examiner for FINRA with a unique perspective on rules and regulations from both the street side and the regulatory side of the aisle. I have owned and operated B/D Compliance Associates, Inc. for the last 25+ years. In 2007 I formed Bridge Capital Associates, Inc., a FINRA member broker/dealer providing an independent contractor platform for investment banking and M&A professionals.