Conduct reviews and investigations of unusual market activity for evidence of manipulation of NYSE/AMEX listed securities and potential violations of FINRA/NYSE and SEC rules.Examine all related market data and reconstruct trading using various automated tools and other methods. Draft memoranda detailing investigative findings and recommending appropriate disposition to management supported by factual evidence and legal analysis concerning informal disciplinary actions(e.g. cautonary letters and summary fines) and referrals to Legal.Compose referrals to the SEC of volatile activity effected by market participants that are not within FINRA's jurisdiction.Communicate with NYSE Euronext and NYSE Regulation staff regarding analysis of markets in NYSE and NYSE Amex listed securities. Assist in responding to inquiries from the SEC.

Instructed Financial Advisors on requirements for Cost Basis and new Cost Basis legislation.Performed fair market value and cost to cost reconciliations of client monthly statements. Evaluated and provided guidance on how securities would be reported to the IRS.

Analyzed clients monthly, fiscal, and year end tax reporting statements.Interpreted and explained information contained in statements to Merrill Lynch Financial Advisors. Assisted Merrill Lynch associates enter cost basis for purchased and sold securities.