My Dodd Frank, FINRA and SEC findings

In the wake of Dodd-Frank regulation  my over 33 years of experience has positioned me to quickly identify processing gaps and inefficiencies that could have major negative impact on small and large financial institutions. I’ve identified a few of these in recent roles with major Financial firms.

I have uncovered inconsistencies within the TBA Reporting market resulting in FINRA/SEC ruling allowing for greater transparency (the heart of Dodd Frank). More info is at my sites  and  in addition to the related sites


Leave a Reply

Your email address will not be published. Required fields are marked *