Home
Bio
Experience
Services
Contact Us
Margin
Security Transfers
Third Party Transfers
DTCC Issues
Certificate Processing
NSCC Risk Deposit
Front End Order Management Systems (OMS)
Market Making Issues
Trade Uploads
Contra Party Settlements
Fails (Receive and Deliver)
Order Routing Disclosures
FINRA Regulatory Investigations
Internal Audit
AREAS OF EXPERTISE
Operations Processing
New Account Procedures
Case evaluation
Introducing Firm/Clearing Firm relationship
Clearing Agreement Review
Suitability Standards
Security Investor Protection Act
Money Market Sweep Programs
Account Transfer Process (NYSE 412)
Blue Sky
FINRA Rule Process
Net Capital Issues (15c3)
Reserve Calculations
AML (clearing firm/introducing firm)
Services
Securities Clearing Expert Witness
View on Mobile