Let's start with the obvious. Life in the financial world is not simple. Never has been. Never will be. It is a world where success — and sometimes failure — is defined by the way organizations navigate through a complex spider web of legal, regulatory, fiduciary and ethical demands. For more than 30 years, I have specialized in helping people like you do things the right way, so your chances for success are greater. Specifically:

• I consult on broker-dealer and investment adviser legal and compliance matters, including providing enforcement defense and expert testimony in arbitrations and litigation.
• I regularly prepare and present fiduciary training for firms and individuals nationwide.
• I conduct fiduciary assessments and "mock audits" for advisers, broker-dealers, qualified plans, endowments and foundations.
• I am a qualified neutral and provide dispute resolution services.

I invite you to learn more about the services I provide, and contact me to discuss your needs.