Expertise
Advertising,
Anti-Money Laundering (AML),
Broker/Dealer,
Compliance,
FINRA,
Fraud,
Investment Adviser,
Misrepresentation,
Private Placements,
Reporting Systems (MIS),
SEC,
Suitability,
Supervision,
SRO,
Variable Annuities,
Virtual Services available,
.. Domiciled in Florida.
Geraldine Genco Dube   

Principal, Geraldine A. Genco Consulting
11971 SE Birkdale Run
Tequesta, FL 33469

Work: 561-745-3893
ggenco@ggencoassociates.com
GGencoAssociates.com/securities-consulting/
Expertise
Advertising,
Anti-Money Laundering (AML),
Broker/Dealer,
Compliance,
FINRA,
Fraud,
Investment Adviser,
Misrepresentation,
Private Placements,
Reporting Systems (MIS),
SEC,
Suitability,
Supervision,
SRO,
Variable Annuities,
Virtual Services available,
.. 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.