Thomas Cattani Email & Phone Number

New York, Ny, Us

Carlstadt, New Jersey, United States

Distributors of Triple Threat hypochlorous disinfectant, sanitizers, and cleansers.

In private practice, as General Counsel, and as Chief Compliance Officer, provided legal, regulatory, compliance, leadership, and business advice to small businesses, publicly traded corporations, broker dealers, and registered investment advisers.

Suffern, New York

Regulatory Compliance • Supervise 50 employees at dually licensed financial firm – retail broker dealer and registered investment advisor. • Develop compliance policies and procedures to comply with all securities laws, regulations, and directives issued by FINRA and the SEC.• Test and enforce compliance policies and procedures.• Develop and maintain the company’s anti-money laundering program.• Represent the firm in over 12 regulator examinations with no findings leading… Show more Regulatory Compliance • Supervise 50 employees at dually licensed financial firm – retail broker dealer and registered investment advisor. • Develop compliance policies and procedures to comply with all securities laws, regulations, and directives issued by FINRA and the SEC.• Test and enforce compliance policies and procedures.• Develop and maintain the company’s anti-money laundering program.• Represent the firm in over 12 regulator examinations with no findings leading to penalties or adverse action.• Perform annual detailed risk analysis.• Create needs analysis and employee training programs.Legal Counsel• Represent the firm in FINRA arbitration proceedings and SEC complaint resolution proceedings with no adverse findings and no damage awards. • Maintain corporate formalities.• Review and maintain all contracts with vendors. Show less

• Designed several acquisitions using creative merger techniques to minimize cash outlay and incorporate key employees in the new corporate structure.• Responsible for all contracts, purchases, and dispute resolution.• Created employment policies and drafted employee manual. • Designed and completed several Private Placements.• Organized and developed corporate policies and procedures necessary to prepare the company for conversion into a publicly held corporation including… Show more • Designed several acquisitions using creative merger techniques to minimize cash outlay and incorporate key employees in the new corporate structure.• Responsible for all contracts, purchases, and dispute resolution.• Created employment policies and drafted employee manual. • Designed and completed several Private Placements.• Organized and developed corporate policies and procedures necessary to prepare the company for conversion into a publicly held corporation including Sarbanes Oxley regulatory compliance.• Oversaw all licensing for several facilities and fleet of trucks including environmental regulatory compliance, transportation regulatory compliance, and zoning and land use compliance.• Integral part of the team that took the company public through a private placement and simultaneous reverse merger into an existing public shell. Show less

Jd, Law

Activities and Societies: Tax Honors

Ba, Psychology, Business