Expert Witness Services
Services – Arbitration/Litigation Support and Consulting; Initial Review; Assistance with drafting/answering complaint and discovery; Expert Witness opinion and testimony.
General Areas of Expertise – Broker/Dealer Compliance; Investment Adviser Compliance; Investment Company Compliance; Net Capital Compliance; Securities Rules & Regulations;
Specific Areas of Expertise: Supervision; Sales practices; Net Capital & Financial Responsibility Rules; Industry standards and Practices (including best practices); AML Compliance
Summary of Experience
With over 30 years experience in the financial services industry, Karen Steighner can expertly testify on all facets of broker/dealer, investment adviser, investment company and net capital compliance. She is a specialist with over 30 years experience in the securities industry, including Chief Compliance Officer – BD/IA/Fund, General Securities Principal, AML Compliance Officer and CFO/Financial & Operations Principal for a wide variety of institutions throughout the United States. She is currently the President and CEO of a premier regulatory compliance consulting firm. She has extensive first-hand experience to guide counsel/client through the intricacies of sales practices, supervisory issues, compliance policy and operational issues, regulatory exams, net capital compliance, AML compliance.
Her prior work experience has included Chief Compliance Officer, Director of Compliance, Taxable Fixed Income Specialist and an Operations Manager. Having established and registered new broker/dealers and investment advisers with FINRA, the SEC and state securities commissions, she has acquired and developed extensive knowledge of every aspect of compliance requirements for these regulated entities.
She is also pursuing FINRA’s Certified Registered Compliance Professional (CRCP) and the National Society of Compliance Professionals (NSCP)’s Certified Securities Compliance Professional (CSCP) designations and registration as a FINRA arbitrator. Karen is an active member of the National Society of Compliance Professionals.
Her FINRA registrations include the General Securities Representative (7), NYSE Branch Manager (9/10 waived), , General Securities Principal (24), Financial & Operations Principal (27), Uniform Securities Agent State Law (63) and Uniform Investment Advisor Law (65), Investment Banking Professional (79) and Operations Professional (99).
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