Emphasizing compliance examination and inspection services, Dunn Consulting and Training, services both clearing firms and introducing brokers by tailoring the available services to your firm’s needs.
As an SEC regulator from 1992 through 2013, I have examined a wide variety of broker-dealers. Prior to my employment with the SEC I was a brokerage operations manager in New York City. Consequently, I have both a practitioner and regulator understanding of customer suitability requirements, trade execution and settlement, back office operations, and supervision. I also understand that each firm is unique based on its product line and customers it services.