Expert Witness and Consultant helping Law Firms, Broker-Dealers and RIAs
Kay Johnson
Owned by a compliance and securities professional with over thirty years of experience in the financial services industry.
Compliance Support
Working with Broker-Dealers, Registered Investment Advisors and their registered personnel on all matters involving compliance, supervision and risk.
Expert Witness & Litigation Support
- Assists firms and law practices with strategic support for litigation.
- Expert Witness for JAMS Arbitrations and FINRA Dispute Resolution cases.
Litigation Support
Provides case analysis and strategic support to Law Firms, Broker Dealers and Harmed Investors.
Expert Witness
Expert Witness in FINRA Dispute Resolution and JAMS Arbitration Cases
Compliance and Regulatory Assistance
- Regulatory Inquiry Assistance
- RR, Branch and Firm Regulatory Exam Support
- Risk Assessments
- Mock Exams
- Due Diligence on Broker Dealers
- Continuing Membership Applications (CMA)
- Regulatory Filing Assistance (CMAs. Rule 3110, 4530, 5121, 5122, 5123, U4, U5, Form BR and BD Filings).