Broker-Dealers

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.

 

My broker-dealer services are limited to four areas:

  • Anti-Money Laundering Testing – I offer independent annual test services.  As a past member of the SEC’s Anti-Money Laundering Working Group, I can add value to your firm by performing the required annual independent test.

 

  • Branch and Office of Supervisory Jurisdiction Inspections – During my employment at the SEC, I examined numerous branch offices and OSJ offices.  Let me use that experience to assist your firm with its annual or periodic scheduled branch/OSJ examinations.
  • Supervisory Controls Tests – The regulation emphasis on a firm’s system of supervisory controls has increasingly become a focal point of compliance examinations.  My expertise in this important area will be of help to your firm by performing a comprehensive review and test of these important and required controls.

 

  • Litigation Support – I am available to assist with case and trial preparation.  I will provide expert witness testimony in depositions, hearings, or trials.

If you would like more information about my services, please call (303) 476-0699 or complete the Contact page on this web site.