The law and consulting firm of Diane K. Golbeck, PLLC, provides a specific focus on providing advice and services to broker-dealers and investment advisors, and assisting in their dealings with regulators. I practice traditional financial services law through "of counsel" relationships with trusted colleagues on the East and West coasts, and also maintain a consulting practice which allows the flexibility to structure arrangements that better serve my clients.
My background makes me uniquely qualified to provide effective consulting and representation. I entered the business in 1983 as a broker and joined NASD (now FINRA) in 1985. As the Seattle District's senior sales practice investigator, I investigated hundreds of complaints, audited dozens of main and branch offices, conducted extensive analyses of broker-dealer compliance and supervisory systems, and worked with both small and large firms regarding, among other things, exception report analysis, periodic account reviews and objective account evaluation. I also trained and mentored colleagues on sales practice investigations and was selected to help create internal training modules and to provide training to industry personnel and education to investors at various forums throughout the northwest.
In 2000, I went into private practice and focused on broker-dealer and investment advisor law, compliance and supervisory consulting, and client representation before the SEC, FINRA, Washington Department of Financial Institutions, and the Washington Office of the Insurance Commissioner. During this time, I served a five year term on the Securities Industry Council on Continuing Education, and I have been a FINRA arbitrator from 2001 through the present.
There are many consultants in the financial services business, but few with industry, regulatory, and legal backgrounds. I am confident that my practical understanding of the business, coupled with the privileged nature of my client relationships, sets my work apart from others.
Diane K. Golbeck, Esq.
6947 SE Olalla Valley Road Port Orchard, WA 98367
(253) 857-0515 (W)
(253) 857-0516 (F)