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Nicole Smith

Senior Associate

William Freebing

William Jannace

W. Scott Simon, J.D., CFP®, AIFA®, BCF®

Susan R. Faulkner

Steven Valji

Stephen Hoopes

Richard Paley

Ricardo N. Ramos

Raymond Conover, ARe, FLMI, MCM

Miriam Lefkowitz

Michael K. Smith

Michael Putetti

Lloyd Wennlund

Kevin Neal

Jacqueline Nash Bloink, MBA, RHIA, CFE, CHC, CPCO, CPC-I/CPC, CMRS

Jacqueline Nash Bloink, MBA, RHIA, CFE, CHC, CPCO, CPC-I/CPC, CMRS

Craig S. Hurwitz, CFA

Alfred Rauch, Jr.

Clay Grumke

Bonnie Goldblatt

Kathleen Dedenbach

Nicholas Bourque

Senior Consultant

Diane Rankin

Christina Rea

Christopher Riper, CFE, CAMS

Managing Director, Complex Litigation & Regulatory

Patricia Landau

Jacqueline Kuiper

Christopher Brandenburg

Project Manager, BD-RIA Compliance

Daniel A. Roberts

David Newman

Daniel Mee

Empress Smith

State Licensing Consultant

Practices & Services

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Advisor Transition Dispute Litigation

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Technology and Systems Reviews

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Precious Metal Dealers

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Compliance and AML for Banks

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Exempt Reporting Advisers

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Private Funds

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Independent Reviews

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Outsourced Compliance/CCO Support

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Business Continuity Program

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Compliance Program

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Code of Ethics Program

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Registration & Filings

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Bank Account Facilitation

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Expert Compliance Training

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Advisory Account Reviews

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Share Class Disputes

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Supervision Program Support

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State Licensing Acquisition, Maintenance and Renewal

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BSA/AML Independent Reviews

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BSA/AML/OFAC Compliance

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Money Services Businesses (MSB), Banks, FinTech and Cryptocurrency

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Matrimonial and Divorce Services

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Consumer Compliance Protection

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Virtual Assets & Cryptocurrency

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Annuity and Insurance Product Litigation and Actuarial Services

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Property and Casualty Insurance

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Life Insurance Products

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Annuities

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Insurance - Regulatory

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Employment Dispute Litigation

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Profit and Loss (P/L) Reports, Damages, and Other Analyses

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Consulting and Expert Testimony

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Retail Securities Litigation & Consulting

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Advertising and New SEC Marketing Rule Implementation

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Market Manipulation

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Business Interruption Litigation Support

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Compliance Manual and Code of Ethics Creation and Maintenance

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As-Needed Compliance and Regulatory Consulting

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Internal Controls Review

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Risk Assessment/Gap Analysis

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Mock SEC Review/SEC Preparatory Review

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Guidance on Acquiring/Merging of Existing RIAs

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State to SEC Transition Filing

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Business Continuity and Succession Planning

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Advertising and Marketing Reviews

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Compliance Outsourcing Services

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Independent Compliance Consultant Services

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Merge or Acquire an Existing IA Firm

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Registration Lifecycle Service

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SEC Regulation Best Interest and Form CRS

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Forensic Accounting and Economic Damages

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Bates Investor Risk Assessment

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Arbitrator Evaluator™

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Valuation, Fiduciary and Related Services

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Anti-Money Laundering (AML) Program

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FINRA and SEC Expert Witness Testimony

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Capital Markets

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Big Data

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Cybersecurity

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Registered Investment Adviser Services

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Broker-Dealer Services

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Actuarial Services

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Valuation Services

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Asset Tracing

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Economic and Other Damages

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Complex Data Analyses

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Litigation Assessment

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Internal Investigations

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US & Global Regulatory Investigations

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Institutional Litigation & Consulting

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Early Case Assessment

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Data Analyses & Analytics

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Regulatory and Internal Investigations

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Securities and Financial Services Litigation & Consulting

News & Webpages

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MLP Explained

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