There have been no more challenging times than the present for compliance and supervisory professionals at financial services firms. Between the consolidation of NASD and NYSE rules, new rule making, and the increased regulatory scrutiny on broker-dealers brought on by investment-related scandals and failures, firm managers are struggling to afford appropriate staffing and keeping their businesses compliant.
Diane K. Golbeck, PLLC can help in the following situations:
Fees charged for services may be on an hourly or a flat fee basis, as agreed upon by the parties.
When you are asked to respond to a request for information, or are “requested” to appear for an on-the-record interview (“OTR”) or deposition, you may well be facing the beginning of a long and frustrating experience that may result in disciplinary action against your firm, or you, or both.
Having prepared dozens of cases as a FINRA investigator and attended and deposed numerous industry persons for potential disciplinary action, I am uniquely qualified to assist in the following areas:
Fees charged for these services will be on an hourly basis, at a fee agreed upon by the parties.