INDUSTRY ARBITRATOR
Arbitrator – FINRA Dispute Resolution, Inc., November 2001 to present

SECURITIES INDUSTRY COUNCIL ON CONTINUING EDUCATION
Member – Member of the West Coast Content Committee which writes, reviews and discusses content materials for the Regulatory Element of the Continuing Education Program in which all registered brokers must participate.  April 2002 to June 2007

DIANE K. GOLBECK, PLLC, Port Orchard, Washington
Principal and Owner – Diane K. Golbeck, PLLC focuses on the representation of registered individuals in connection with regulatory requests for information, on the record interviews and the resolution of such matters. The firm also specializes in all nature of audits, from routine branch exams to departmental audits, and from special situation audits to regulator ordered exams; and consults with respect to most compliance and supervisory issues. September 2008 to present

GOLBECK ROTH FINANCIAL SERVICES LAWYERS, PLLC, Seattle, Washington
Of Counsel – I maintain an “of counsel” relationship to the attorneys of the firm and collaborate on matters relating to plaintiff and defense cases, and compliance and supervisory consulting issues relating to broker-dealers and investment advisors. September 2008 to present  

GOLBECK ROTH, PLLC, Seattle, Washington
Principal and Owner – Golbeck Roth, PLLC engages in substantial broker/dealer and registered investment advisor defense work, represents individual plaintiffs, and engages in compliance consulting services and risk assessment. The firm also offers the following services on a need-specific basis:  routine branch and home office examinations; annual compliance meetings; firm element continuing education presentations; continuing education needs analysis and preparation of written training plans; heightened supervisory issues including preparation and implementation of plans tailored to particular situations; special situation audits; consultation and representation in connection with regulatory examinations; on-site inspections and new member applications; analysis of compliance manuals and supervisory procedures for FINRA compliance; and expert witness testimony.  June 2000 to August 2008  

NASD REGULATION, INC., Seattle, Washington
Special Investigator – Responsibilities included the review of regulatory reporting forms for potential investigation; resolved reporting issues, investigated termination for cause disclosures and customer complaints; developed cases against brokers, supervisors and compliance personnel; deposed respondents; testified at disciplinary hearings; reviewed supervisory procedures and systems for compliance; conducted home office exams of NASD member firms and branch office examinations of member firms and NYSE firms; participated in compliance presentations to all levels of broker/dealer staff; represented NASD at investor forums throughout the Northwest; and routinely consulted with supervisory personnel in the field. Received various awards including 1991 Excellence in Service Winner; 2000 Chairman’s Award; and “Above and Beyond” acknowledgements.  September 1985 to June 2000   

REGISTERED REPRESENTATIVE
National general securities broker-dealer, January 1984 to May 1985
Regional general securities broker-dealer, May 1983 to December 1983

EDUCATION AND MEMBERSHIPS                                                                

  • Case Western Reserve Law School, Cleveland, Ohio, JD, 1982

  • Boston College, Boston, Massachusetts, BA, 1979, Magna cum Laude

  • Member Washington State Bar Association;

  • Licensed to practice law in Washington State Courts and United States District Court for the Western District of Washington.

Qualifications

Law Firm