Principal, SRQ Regulatory Services LLC
1255 N Gulfstream Ave, Suite 206
Sarasota, Fl 34236
Work: (941) 706-0495
Cell: (941) 259-7419
Broker-dealer legal and compliance risk mitigation/management.
Customer claims/complaints assessment and evaluation; arbitration/litigation consulting/ support.
Application/interpretation of FINRA rules, policy, and industry compliance practice.
Employment disputes, advisor/broker recruiting, Form U5 disclosure/defamation matters, regulatory reporting, expungement matters.
Retail product governance, new product due diligence, sales practice monitoring, product suitability guidelines.
Retail sales practices, FA supervision.
Eligibility (statutory disqualification) law and practice, including FINRA MC-400 matters.
FINRA Membership Application (MAP) and SEC broker-dealer registration issues.
Broker/advisor licensing, qualifications, and continuing education.
Fiduciary duties and responsibilities, including conflicts of interest management.
Bank-affiliated broker-dealer issues, including OCC oversight, Regulation R questions, compensation plans, networking arrangements.
Jeff Holik is a seasoned attorney and financial services professional with 25 years of securities industry experience. Jeff brings to his work as an expert witness and litigation consultant the perspectives earned from a rare combination of his long tenure as a senior leader with NASD Regulation (now FINRA), followed by many years as chief legal officer of the broker-dealer and retail adviser affiliates of PNC Bank. Jeff's foundational experience as a litigation associate and partner at two national law firms contribute to his superb testimonial skills.
Jeff accepts engagements involving a variety of issues with focus on retail securities sales practices, FINRA rules and policy, and industry compliance practices. He has broad and deep experience evaluating customer claims and handling examination and enforcement matters. Jeff has been qualified as an expert on FINRA rule interpretation and on broker-dealer legal and compliance risk management, among other topics, in numerous contested matters.