Regulatory Remediation, Compliance transformation, and expert testimony consulting are backbones to handling compliance support services for broker dealers.
Each month FINRA releases a report of brokers, registered representatives, and firms who are under investigation or have a case filed against them. We assist broker-dealers and others involved in these cases throughout the United States; including referrals we receive from leading law firms, compliance consultants, and institutions.
Dave Banerjee, our principal lead for FINRA and SEC investigation clients, has worked with; FINRA member firms, SEC and State registered advisors, insurance companies, hedge funds, municipalities, and CPA Audit examinations. Dave is a Certified Public Accountant and member of AICPA and PCAOB. Dave holds registered representative level license series: 7, 55, 63, 65, 79, and 99, as well as the following principal registrations:
FINRA member principal registrations of Dave Banerjee:
Series 4 – Registered Options Principal
Series 24 – General Securities Principal
Series 27 – Financial and Operations Principal
Series 53 – Municipal Securities Principal
Read more about Dave Banerjee’s Expert Testimony experience
In addition to assessing the applicability of industry practices and regulatory requirements, analyzing evidence, and providing expert witness testimony; Dave Banerjee is qualified to testify on basic broker-dealer sales practices, suitability, outside business activities, private securities transactions, adequate supervisory systems and procedures, and general compliance with FINRA and SEC guidelines.
- Discovery Accounting
- Expert Testimony
- Valuation Opinions
- Audit and Mock Audits
- Accountant Deposition
- Financial and Fraud Investigations
- SEC Custody Compliance
- Regulatory Compliance Analysis
- SAS 70 Compliance – Analysis and Reporting / Type 1 & 2
- Marital Dissolution Asset Analysis
Specific areas of expertise RND Resources assists with Expert Witness and Litigation Consulting cases
- Expert Testimony Services: Analysis and case development along with valuations and damage assessments, and discovery accounting are combined to provide exert testimony on matters in securities and investments, insurance, financial services, and banking.
- Financial and Fraud Investigations: Forensic discovery accounting and analysis including tax and audit reporting to investigate white collar crime cases, embezzelments, and business failures.
- Securities Regulation and Compliance with SRO rules regarding; suitability, churning, and defense of securities firm against litigation from institutional and retail customers
- Critical analysis, evaluation, and remediation of securities business and operating processes
- Business Asset Valuation in connection with buy/sell agreements, mergers, or dissolution
- Asset evaluation: proposing strategies to maximize settlements and representing high-net-worth individuals in disputes
- Damage-calculation engagements such as; lost profit calculation and determination of losses resulting from breach of contract disputes or patent infringements
- Proficiency in the creation of databases for use in case assessment and presentation of evidence in court
- Application of GAAP and GAAS accounting principles and auditing standards, as well as the application of SEC Rules and Regulations (GAAP; Generally Accepted Accounting Principles, GAAS; Generally Accepted Audit Standards)
- Document Management Services and implementation of document systems
RND Resources Inc is a independent member firm of RSM US Alliance. This affiliation gives us a full range of national and international capabilities. As a member firm, RND Resources has access to resources and services RSM provides through its network nationwide and globally. Read more about RSM US Alliance
If you have any questions, please feel free to contact:
Dave Banerjee via email@example.com
Tel : 818.657.0288
Click here to see Dave Banerjee’s CV.