Expertise
Complex matters and case analysis involving private funds, broker-dealers and investment advisers.
Damage Calculations
Broker-Dealer
* Risk Management
* Trading and Markets
* Clearing and Finance
* Clearing, Prime Brokerage and Custodial
* Compliance and Supervision
* KYC, suitability and due diligence
Advisors/Hedge Funds
* Custody, Suitability & Fiduciary Duty
Fact witness on numerous matters involving respondent employers. Expert witness on behalf of industry participants more than 60 times over 30 year period.
Fraud Investigations.
Clearing and custody arrangements; prime brokerage and clearance; supervision and suitability; trading; margin; fiduciary standard for advisers; portfolio analysis; options and derivatives; corporate compliance process and procedures; broker-dealer financing; Anti Money Laundering compliance; institutional equity research and trading; executive management and supervision.
(For search purposes, not intended to be a comprehensive list)
Expertise
Complex matters and case analysis involving private funds, broker-dealers and investment advisers.
Damage Calculations
Broker-Dealer
* Risk Management
* Trading and Markets
* Clearing and Finance
* Clearing, Prime Brokerage and Custodial
* Compliance and Supervision
* KYC, suitability and due diligence
Advisors/Hedge Funds
* Custody, Suitability & Fiduciary Duty
Fact witness on numerous matters involving respondent employers. Expert witness on behalf of industry participants more than 60 times over 30 year period.
Fraud Investigations.
Clearing and custody arrangements; prime brokerage and clearance; supervision and suitability; trading; margin; fiduciary standard for advisers; portfolio analysis; options and derivatives; corporate compliance process and procedures; broker-dealer financing; Anti Money Laundering compliance; institutional equity research and trading; executive management and supervision.
(For search purposes, not intended to be a comprehensive list)
Former Investigator with NASD: 30 years experience with two broker-dealers;10 years with RIA and hedge fund; Litigation and Regulatory Analyst with Shearson Lehman Brothers law department; Board Director, COO,CFO and CCO with institutional investment bank; and, Board Director. Reviewed more than 2,000 matters during career. Over his 40 year career, Mr. Bulger has been active with organizations such as SIA, SIFMA, NOIP, NSCP and the Institute for Financial Management Regulation (IMFR) at the State University of New York, Rockefeller College and Albany Law School.
Oversaw organizations with more than 500 employees and advisers with more than $2 billion AUM.
Registrations 4,7,24, 27, 53, 63, 65, 87 & 99 (non Active)
SER Voting Member
