Rodney Turner

Rodney Turner

Director, Compliance Solutions

Rodney Turner is Director of Bates Compliance Solutions, Bates Group’s compliance consulting practice. He brings over 20 years’ work experience in the financial services compliance and legal field. For the bulk of that time, Mr. Turner worked as an investigator and attorney with NASD/FINRA. While there, he served on the staffs of the Market Regulation and Enforcement Departments, where he investigated and prosecuted broker-dealers and registered representatives for violations of federal securities laws, NASD/FINRA rules, and MSRB rules.  Mr. Turner represented NASD/FINRA in investigations of misconduct that included supervisory failures, anti-money laundering deficiencies, suitability failures, and fraudulent market manipulation schemes. 

After leaving NASD/FINRA, Mr. Turner utilized his industry skills and experience as a financial services compliance consultant, advising broker-dealers and investment advisors on how to develop and implement procedures and systems designed to ensure compliance with federal securities laws, rules, and FINRA Rules. In addition, he conducted mock regulatory examinations of firms and counseled them on remediating their compliance programs after being cited by regulators for deficiencies. Most recently, Mr. Turner served as a Compliance Counsel with Certified Financial Planner Board of Standards, Inc., investigating and prosecuting CFP® professionals for violations of the Board of Standards rules, which often involved violations of federal securities laws and/or FINRA rules.

Mr. Turner has served as Adjunct professor or Legal Research, Writing & Analysis at the George Mason University School of Law, where he received his Juris Doctor, and he is admitted to the bars of the District of Columbia and the State of Virginia.


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Rodney Turner

A Consultant and subject matter expert in these services:

Credentials

EXPERIENCE

Certified Financial Planner Board of Standards, Inc., Washington, D.C., Compliance Counsel, Professional Standards & Legal Dept., 2013 – 2018

Oyster Consulting, Arlington, VA, Financial Services Consultant, 2011 – 2013

FINRA (formerly NASD), Washington, D.C.,

  • Principal Counsel, Enforcement Dept., 2008 – 2010
  • Senior Attorney, Enforcement Dept., 2003 – 2008
  • Attorney, Enforcement Dept., 1999 – 2003

NASD, Washington, D.C.,

  • Senior Examiner, Enforcement Dept., 1997 – 1999
  • Associate Examiner, 1997

NASD, Rockville, MD, Fraud Analyst, Market Regulation Dept., 1995 – 1997

George Mason University School of Law, Arlington, VA, Adjunct Professor for Legal Research, Writing & Analysis, 1994 – 1996

Superior Court of the District of Columbia, Washington, D.C., Clerk for Hon. Robert S. Tignor, 1994 – 1995

U.S. SEC, Washington, D.C., Legal Intern, Division of Enforcement, 1992

EDUCATION

George Mason University School of Law, Arlington, VA, Juris Doctor, 1993

University of Virginia, Charlottesville, VA, Bachelor of Arts in Economics, 1988

BAR MEMBERSHIPS

District of Columbia Bar, admitted 1996

Virginia State Bar, admitted 1993

Automat:ee