Responding to FINRA SEC and State Regulatory Firm and Branch Examinations.Managing the regulatory review workflow of customer complaints to ensure timely filings and disclosures. Reviewing, analyzing and determining NYL Securities LLC’s regulatory reporting obligations under Rule 4530 and CRD disclosures involving customer complaints, litigations, arbitrations, terminations, regulatory actions, and other regulatory matters.

Real Estate and property specialist in the Mid Hudson Valley of New York.President of the the Mid-Hudson Valley Ad Council of HomeVestors of America (Each Office is Independently Owned)

Was responsible for oversight and supervision of responses to all non-sales practice customer complaints. Root cause analysis and escalation. Provided legal guidance to the business groups and the back-office. Analyzed and responded to customer complaints and regulatory inquiries. Met regulatory and internal matrix reporting obligations. Drafted U-5 language for Registered Representative terminations.

Analyzed and responded to customer complaints and regulatory inquiries. Met regulatory and internal matrix reporting obligations. Drafted and filed U-4s and U-5s. Filed under FINRA Rule 4530. Tracked complaints, created reports and provided complaint information firm wide.

Successfully managed the Law Department’s role in the Employee Notes Retrieval Project to resolve unpaid promissory notes, valued at $80 million.Managed outside counsel and provided litigation guidance, risk assessment and guidelines to responsible business unitsUsed organizational, persuasive, teambuilding and diplomacy skills to streamline the entire process to facilitate effective legal and business decisionsCollected 100% of reserved amount by being tenacious and persistent.

Provided legal advice and support to senior business managers, the compliance department, branches and back office.- Analyzed and investigated retail customers’ claims of employee sales practice violations- Conducted legal and product research, analyzed customer portfolios, interviewed customers, attorneys and other relevant parties.

 Conducted firm surveillance of employee and customer trading activity.- Used investigative and analytical skills to monitor accounts for suspicious activity- Used research and computer skills to verify information using the Internet, Bloomberg and proprietary systems- Used excellent verbal and written communication skills to effectively respond to and liaise with the NASD, NYSE and the SEC

Reviewed trades for compliance with Rule 144, filed Form 13F and Schedule G. Managed outside counsel and coordinated with company attorneys for the removal of restrictive legends from restricted securities.

Worked on real estate transactions, condominium offering plans and landlord tenant litigation.