Ms. Lefkowitz provides expert consulting and testimony on securities compliance issues in various legal settings, such as court cases, arbitrations, administrative law forums and settled actions. She also advises broker-dealers and RIAs on their retail compliance programs, has been approved to serve as compliance consultant for firms seeking cooperation credit in settlements with the SEC and/or as an independent compliance consultant in connection with such settlements.
Before going in-house, Ms. Lefkowitz served as Senior Counsel in the Enforcement Division of the Securities & Exchange Commission and practiced law at a firm in Miami. She was on the Board of Directors of the National Society of Compliance Professionals (NSCP) from 2014-2019, serving as its Chair in 2018. Previously, she served as the Chief Legal Officer of Summit Equities, Inc./Summit Financial Resources, Inc. from 2014-2019 and as its Chief Compliance Officer from 2014-2015.
