Kay Johnson

Compliance and securities professional with over thirty years of experience in the financial services industry including positions as Chief Compliance Officer, Board Director, Branch Manager, Regional Manager, Operations Manager, Consultant, Expert Witness and Arbitrator. In addition to holding the Certified Regulatory Compliance Professional™ designation, I have been an Industry Arbitrator and Chairperson for FINRA Dispute Resolution, and a Subject Matter Expert for FINRA’s Committee on Continuing Education for over 15 years. I have served three terms on the FINRA District Committee and participated in FINRA Disciplinary Hearing Panels. 


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).