Samuel Turvey, JD

Samuel Turvey, JD

Samuel “Sam” Turvey is an Affiliate Expert at Bates Group who has more than 30 years of experience as an attorney and senior compliance officer in the Securities Industry. Since 2000, he has served in Chief Compliance Officer (COO) roles at some of the industry’s premier firms—Merrill Lynch, Morgan Stanley, Bear Stearns and, more recently, a 12-year stint at TIAA. In those roles, he has assisted firms in all aspects of compliance programs including strategic planning, rule implementations and execution of responses to compliance exams, enforcement matters, and regulatory inquiries. Sam has also served as CCO of Broker-Dealers, RIA's, Hedge Funds, and Private Equity efforts.

Sam is a licensed attorney who has defended firms and individuals—as outside and internal counsel in securities arbitrations, regulatory inquiries and hearings as well as large compliance projects. He has a proven track record highlighted by the following qualities:

  • Experienced leader in Private Client, Retirement/Pension and Asset Management Compliance and Regulatory matters.
  • Strengths include pro-activity, issue resolution abilities, and effective use of communication strategies on behalf of clients.
  • Demonstrated ability to design, build out, and properly structure a compliance program or response to new rule implementations.
  • Excellent working relationships with regulatory authorities and positive impact on regulatory exam and inquiry results.
  • Sought after as a public speaker.

Sam lives in Northern New Jersey and is a graduate of Fordham College and Law School in New York. He has served on numerous industry and regulatory committees, including the SIFMA Compliance and Legal Executive Committee and FINRA’s District 10 Members Committee.  


icon-printer

Samuel Turvey, JD

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • All Risk Coverage
      • Alternative Investments
      • Annuities
      • Asset Backed Securities (ABS)
      • Auction Rate Securities (ARS)
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Capital Markets
      • CDOs
      • Clearing
      • Closed End Funds
      • Corporate Governance
      • Complex Products
      • Customer Relationship Summary - Form CRS
      • Cybersecurity & Privacy
      • Damages Analysis
      • Data Breach & Risk Management
      • Disbursements
      • DOL Fiduciary Duty Rule
      • Equities
      • Elder Issues
      • Fiduciary Duties/Responsibilities
      • Fiduciary Investments
      • Fixed Income
      • Fraud
      • Hedge Funds
      • High Frequency Trading
      • Introducing Firm/Clearing Firm Relationship
      • Industry Standards
      • Investment Advisory
      • Investment Management
      • Margin
      • Money Laundering
      • Municipal Securities
      • Municipal Trading and Underwriting
      • Mutual Fund Operations
      • Mutual Funds
      • Operational Complaints
      • Out-of-Pocket Losses Analysis
      • Operations
      • Operations & Controls
      • Outside Business Activity
      • P&L Analysis
      • Private Equity
      • Private Placements
      • Private Securities Transactions
      • Portfolio Management
      • Registered Investment Advisers - RIAs
      • Regulation Best Interest - Reg BI
      • RIA Sales & Distribution
      • Senior Investors
      • Sales Supervision
      • Sales Practice
      • Structured Products/Structured Notes
      • Suitability
      • Supervision
      • Trade Processing
      • Trusts
      • Trust Investments
      • U-5 Reporting/Defamation
      • Volatility Linked/Leveraged Products
      • Unauthorized Trading
      • Wealth Management
      • Wrongful Termination
      • 40 Act - 12B1 Fees
      • 401K/Pension/Retirement
      • Compliance Solutions
      • Insurance and Actuarial Services
  • Compliance Solutions
    • Broker-Dealers
    • Registered Investment Advisers
    • Anti-Money Laundering
    • Compliance Testimony
  • Insurance and Actuarial Services

Credentials

EXPERIENCE

TIAA, TIAA-CREF Individual & Institutional Services, LLC, Chief Compliance Officer, New York, NY, 2008 – 2020

Bears Stearns Companies, Inc., Senior Managing Director, New York, NY, 2006 – 2008

Bingham McCutchen LLP, Partner, New York, NY, 2005 – 2006

St. Consulting, Principal, New Jersey, 2004  – 2005

Morgan Stanley, Managing Director, New York, NY, 2002 – 2004

Merrill Lynch, First Vice President, Chief Compliance Officer Advisory Division, 2000 – 2002; Director and Compliance Manager, 1996 – 2000; and Vice President, Senior Arbitration Counsel, New York, NY, 1993 – 1996

EDUCATION

Juris Doctor (J.D.), Fordham University School of Law, New York, NY

Bachelor of Arts (B.A.), Fordham College, New York, NY

PROFESSIONAL QUALIFICATIONS/LICENSING

FINRA

  • Member, District 10 Members Committee, 2013 – 2017
  • Member, Complaints Initiatives Committee, 2010 – 2017

Securities Industry and Financial Markets Association (SIFMA)

  • Executive Committee, Compliance and Legal Division, 2002 – 2004
  • Chairperson, Compliance Subcommittee of Compliance and Legal Division, 2004
  • Lecturer, Annual Spring SIFMA Compliance and Legal Division Seminar, 2014, 2013, 2012, 2011, 2008, 2004, 2003, 1997
  • University of North Carolina Law School Bootcamp, 2020, 2018, 2016
  • ACA Compliance CCO Roundtable, 2018, 2012
COMMUNITY INVOLVEMENT

National Jazz Museum in Harlem, Trustee, 2016 – Present

John Noble Maritime Collection, Trustee, Staten Island, NY, 2015 – Present

ReThinkNYC/Penn Station Initiative, 2006 – Present

  • Board Chairperson, 2020
  • Chairperson, Steering Committee, 2016 – 2019

Charlie Parker Jazz Festival, Inc., Chairperson, Founding Member and Producer, 1993 – 2002