Independent Monitoring & Independent Consulting

New York, NY

Phone: (212) 880-3636
Cell: (347) 880-6140

New York, NY

Phone: (212) 880-3622
Cell: (347) 640-1914

New York, NY

Phone: (212) 880-3964
Fax: (212) 880-3998
Cell: (917) 275-5805

Washington, DC

Phone: (202) 220-1924
Cell: (202) 480-5191

Washington, DC

Phone: (202) 661-7011
Fax: (202) 661-7059
Cell: (202) 680-4908

New York, NY

Phone: (212) 880-3966
Cell: (646)784-4005

New York, NY

Phone: (212) 880-3988
Cell: (347) 880-6662

Washington, DC

Phone: (202) 661-7013
Fax: (202) 661-7059
Cell: (202) 480-6811

Washington, DC

Phone: (202) 661-7015
Fax: (202) 661-7059
Cell: (202) 480-7326

Washington, DC

Phone: (202) 661-7028
Fax: (202) 661-7059
Cell: (312) 543-7750

Washington, DC

Phone: (202) 661-7010
Fax: (202) 661-7059
Cell: (202) 680-4941

New York, NY

Phone: (212) 880-3624

New York, NY

Phone: (212) 880-3960
Fax: (212) 922-2870
Cell: (646) 522-3529

Washington, DC

Phone: (202) 661-7022
Fax: (202) 661-7059
Cell: (202) 680-4181

Washington, DC

Phone: (202) 661-7014
Fax: (202) 661-7059
Cell: (202) 816-9788
For more information visit Our Team page.

Looking Forward

Despite substantial changes in leadership and regulatory philosophy in Washington, D.C., we believe that the SEC, Department of Justice, and FINRA will continue to require independent monitors and independent consultants in settlements where the regulatory authority wants assurance that remedial measures have been implemented and are operating effectively. One trend gaining traction is for entities to have the independent review completed before entering into the actual settlement so that firms receive credit for effective remediation as part of the settlement terms.