SUMMARY OF QUALIFICATIONS Proven Compliance and Regulatory Leader in the securities industry known for providing skillful legal guidance in securities compliance, regulatory, and legal issues. FINRA Series 7, 63 and 24 registered. Industry leading accomplishments include: * Founding co-chair of the Compliance and Risk Committee for the Securities Transfer Association.

Highlights:

• Compliance
• Information Security
• Management
• Security
• Audit
• Drafting
• Financial
• Financial Services
• Fixed Income
• Legal