Category: Financial Compliance

Recent Posts

Sander Ressler Offers Financial Services Expert Witness in Compliance Assistance for Attorneys

sander-ressler(BOCA RATON, FL) DECEMBER 30, 2015— Financial securities compliance expert Sander Ressler is pleased to announce financial services expert witness in compliance help for attorneys working on this complex type of legal work.

Sander Ressler brings his experience and expertise to brokers and investment advisers in need of assistance with their financial services compliance. More than 20 years ago, he began as a regulator and since then has worked with American Express, American General Life Insurance, AIG, ING, and Societe Generale.

He has led more than 20 regulatory examinations conducted by a wide range of federal and state departments regulating banking, securities, and insurance.

As an expert witness, Mr. Ressler can speak about many types of financial securities issues including:

  • Misrepresentation and omissions
  • Overconcentration
  • Churning
  • Failure to execute trades
  • Breach of fiduciary duty
  • Margin account abuse
  • Unauthorized trading
  • Industry best practices

To contact Mr Ressler to learn more about how he ca assist as an expert witness, visit his website yoursecuritiesconsultants.com to email him or to call him and discuss the specifics of your casework.

Sander Ressler Announces Financial Regulatory Services

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Sander Ressler is one of the country’s foremost financial services compliance experts.

(BOCA RATON, FL) NOVEMBER 2, 2015— Financial service compliance expert Sander Ressler is pleased to announce a full compliment of services to help providers meet the standards set by the Securities and Exchange Committee and state agencies across the country.

Mr. Ressler has more than 20 years of experience as a financial compliance expert. His firm offers a number of services to help providers maintain compliance in a rapidly changing environment:

  • Advertising Reviews
    • Business Continuity Plans
    • Compliance Technology Reviews
    • Due Diligence Reviews
    • FINOP Accounting
    • Mock Regulatory Examinations
    • Recordkeeping Reviews
    • Surveillance Risk and Analysis
    • Training and Education
    • Written Supervisory Procedures

Compliance is an important part of the financial services industry, and Sander Ressler offers an alternative to handling compliance issues in-house. He is constantly working to remain abreast of changes at the SEC and FINRA that can impact how financial service providers work every day. HE can give service providers the confidence that they are working within standards and providing their clients with the very best service.