Benjamin L. Lubin

President, Securities Industry Management Corp.
1 Milbank Ave Unit 4C
Greenwich, Ct 06830

Work: 203-869-5745
Cell: 203-536-7463

Operations, Clearing Firm issues and Liability, sales practice and compliance , and firm capital analysis. Supervision and other retail issues.


Ben Lubin has over 50 years of experience in the securities industry.  During this time, he served as a director and audit committee chair of 3 public securities firms and numerous industry committees and boards.

His expertise includes regulatory, sales practice and capital compliance, operations, clearing firm issues including liability, procedures, comparison and settlement and internal controls.

A former Director of SIA, DTCC, and Governor of NASD. He provides Consultation and Testimony and specializes in clearing firm issues and liability, margins, compliance, brokerage firm operation, and firm capital issues.  Contact: