I am a corporate and securities attorney, a regulatory compliance consultant, a husband, father, son and brother. I am an entrepreneur.
I’ve created my own title of “Professional Self-Educator” because life is short and you have to stay ahead just to stay in the know, let alone to keep from falling behind.
Most of my clients are financial services firms, that is, broker-dealer firms and SEC and/or state registered investment advisors.
Many are non U.S. entities and it’s been great to earn their trust and do well by them. Some of my clients have created and operate businesses outside of the financial services industry.
All of my clients are interesting and do interesting, entrepreneurial things. I enjoy working with each and every one of them. They collectively make for my never-a-dull-moment existence. I am constantly on my toes. That’s why I am standing up on the home page.
Within the broker-dealer world I guide companies through the Financial Industry Regulatory Authority (“FINRA”) new member application process and through changes or amendments to their existing broker-dealer business models. I also form SEC and state-registered investment advisors.
I have quarterbacked numerous broker-dealer purchase and sale transactions, beginning with the initial negotiations, letter of intent drafting when necessary, and ending with the drafting and successful execution of the purchase agreement among seller and buyer.
I also provide comprehensive guidance during, and can further administer, the FINRA application seeking approval of such changes in ownership and/or business models.
If you need ongoing compliance support for your financial services firm I can help there as well. My colleagues can register with your broker-dealer firm as a Financial & Operations Principal (“FINOP”).
I have been involved in the formation and/or ongoing compliance efforts of over 200 financial services firms during the last 20 years. Surprisingly, I am told I look young for my age. I’m 100. Kidding. Humor and humility help.
I work closely with accountants and other service providers in the industry.
You’ll find further (excruciating!) detail respecting what I can help you with by clicking the, ahem, “What I can help you with” link on the menu bar above.
If we choose to work together, you’ll find that I approach the provision of my services differently than most. Over time I have found that many of my clients have what they need or know what they want, but need to be made aware of the fact. I’ll always attempt the simplest solution possible and work in reverse. What is essential to solving an issue or otherwise helping a client is usually within the initial grasp of the situation and I attempt to provide my clients clarity by removing everything that is not essential to helping them.
I believe in “less but better.”
Hope to hear from you.