Steve Graham Email & Phone Number

Dallas, Texas, United States

Dallas, Texas, United States

• IQ-EQ is a leading financial services group that combines global expertise with an unwavering focus on client service delivery. With a team of over 3,400 people operating across 23 jurisdictions around the globe, we.
• Under my leadership, IQ-EQ won the HFM US Services Awards 2022 for the Best Advisory Firm – Regulatory and Compliance.
• Lead the compliance team of professionals based in the United States with offices in New York, San Francisco, Los Angeles, Chicago, Dallas, Fort Worth, Austin, and Houston.
• Work with clients to instill a culture of compliance, nurture an environment where employees understand the value of honesty and integrity, and encourage firm personnel to ask questions about their activities and.
• Emphasis on corporate governance and compliance, which includes assessing regulatory risk, detecting and identifying supervisory failures, inadequate policies and procedures, accounting improprieties, FCPA issues, AML.
• Implement and provide ongoing maintenance of clients’ compliance programs.

Southern Region

Dallas/Fort Worth Area

• Implement Rule 206(4)-7 compliant compliance programs.
• Design and monitor testing systems to ensure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure.
• Advise on and review firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
• Participate in preparing and filing required regulatory filings for US and international clients.
• Review, assess, devise, and conduct training of our clients' employees and management,according to client needs, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play.
• Outsourced Chief Compliance Officer (CCO) of registered investment advisers.

Dallas/Fort Worth Area

• Investigated high profile matters and prosecuted numerous broker-dealer violations; substantive areas included inadequate supervisory procedures, securities fraud, anti-money laundering (“AML”) issues, systemic.
• Counsel Member Regulation staff to help them focus the exams to detect and develop evidence to support formal actions.
• Advise attorneys on various issues, including evidentiary challenges, sanctions, elements of violations, policy considerations, and negotiation tactics.Representative cases include prosecuting firms, supervisors and.
• Conflicts of interest related to brokerage firm’s compensation policy, failure to send 17a-3 notices, and supervisory failures related to: (1) variable annuity sales; (2) customer complaint reporting (both 4530 and.
• Systemic supervisory failures that permitted unsuitable investment trading strategy in multiple customer accounts. Firm ordered to pay restitution in the amount of $1,026,089.48, and fined $1 million.
• Inadequate supervisory system led to clearing firm’s failure to deliver prospectuses to customers purchasing 40 Act securities. Firm also failed to notify introducing brokers of the failures. Firm fined $450,000.

Dallas/Fort Worth Area

• Investigated and prosecuted numerous securities law violations, which included accounting frauds, FCPA, internal controls, Ponzi schemes, oil and gas frauds, variable annuity switching, insider trading, churning, and.
• Led attorneys, accountants and examiners in complex securities fraud investigations and prosecutions.
• Co-counsel on trials and preliminary injunction hearings in U.S. district court.
• Member of the FCPA specialty unit and Sarbanes-Oxley certification task force.
• Participated in creating the Seaboard Report.Representative cases include:
• Brought emergency action to halt a $75 million Ponzi scheme perpetrated by a hedge fund and an investment adviser. Relief included a temporary restraining order, asset freeze, and the appointment of a receiver.

Dallas/Fort Worth Area

• Member: business litigation and appellate sections.
• Participated in complex commercial and securities litigation.
• Supervised associates, paralegals and secretaries.
• Managed cases as first chair and second chair.
• Directed efforts of attorneys, paralegals, staff members, and outside vendors to achieve goals.
• Conducted oral argument at an appellate court.Representative cases include:

Doctor Of Law (J.D.), Law, Gpa 3.47/4.0; Class Rank 15 (Top 6%)

Activities and Societies: ● Order of the Coif ● Phi Delta Phi ● Cum Laude ● Highest Grade Honors for Copyrights ● Highest Grade Honors for.

Law

Activities and Societies: ● St. Mary’s Law Journal, writer ● Quarterfinalist, Freshman Moot Court ● Highest Grade Honors for Contracts ●.

Bachelor Of Arts (B.A.), History

● Honor Roll (Spring 1989 through Fall 1990) ● German Outstanding Achievement Award