• Assisted in the development & maintenance of Written Supervisory Procedures• Provided weekly reports to Senior Management on compliance issues related to the Broker/Dealer• Assisted in creating the annual compliance meeting to all of the firms registered representatives• Assisted in the development of the Anti-Money Laundering program • Oversaw all trading practices and was responsible for any and all trade disputes• Reviewed for trading and market making violations including; best execution, backing away, locked & crossed markets, & short sale rules• Conducted real-time trading reviews by monitoring the trading practices on the desk resulting in the significant improvement of the firms TAG numbers • Conducted training meetings for continuing education • Provided Senior management with proposed rule changes along with suggestions on how to comply with such changes

• Made markets in over 300 Nasdaq, Bulletin Board, Pink Sheet, and Gray market securities• Managed a trading account with over a $5 million in capital.• Developed & maintained several institutional accounts including 2 multi-million dollar German banks• Researched and made investments which assisted in making both the firm and account more profitable year in and out• Reconciled daily P&L, resolved customer complaints, handled reorganizations, stock splits, and position adjustments• Solicited new customer accounts