Geraldine Genco Dube |
Principal, Geraldine A. Genco Consulting
7 Country Club CIrcle
Tequesta, FL 33469
Work: 561 745-3893
Ms. Genco's Compliance background has provided an excellent platform for her work as an expert witness, and compliance services. The former head of Compliance for 3 Firms (Broker/Dealer & Registered Investment Advisers) her responsibilities included Registrations, Advertising, Suitability, Supervision, Exception Reporting, Private Placements, Variable Annuities, Anti-Money Laundering (AML) and serving as the Firm's Self-regulatory Organization (“SRO”) liaison. She is domiciled in Florida.
Geraldine Genco (“GG”) Dube has provided Compliance Consulting & Expert Witness services since 1991. Her financial career began in 1987 with The Portfolio Group, a private banking affiliate of Chemical Bank located in New York City. She has held the following certifications: Series- 24, 7, 79, 99, 65 and 63. She's been retained more than 500 times and testified over 100 times. Her Compliance services are customized for the Firm (AML Certification, Custom WSP & RIA Brochures and MIS exception systems) and legal assistance includes case evaluation, reports and testimony.
A FINRA Arbitrator, Mayor emeritus for Tequesta, Florida and she 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. A 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.