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Consulting Services

 

For Financial Services Firms

  • Registration Support
  • Design and Amendment of Policies and Procedures
  • Independent Audit and Testing of Compliance and Supervisory Systems
  • Principal Contracting - Temporary or Regulator Ordered for General Securities, Options, FINOP
  • Training – Product, Sales Practices, Advisory Services, DOL Compliance
 

For Regulators

  • Analysis and Support in Enforcement Actions
  • Advanced Product Training – Annuities, Life Insurance, Alternatives
  • Expert Testimony
  • Independent Compliance and Supervisory system redesign as required in regulatory actions
 

For Attorneys and Individuals

  • Case Analysis
  • Expert Testimony in Federal and State Courts and FINRA Arbitration.
  • Damage Theory and Calculations
  • Mediation and Settlement
 

Vincent Micciche

CRCP, GFS