Meet David

Professional portrait of a smiling bald man in a blue suit and striped tie.

Consultant

A financial crime compliance subject matter expert (“SME”) with extensive experience conducting Anti-Money Laundering (AML) audits, David conducts independent AML exams for numerous clients. He has built AML, enhanced due diligence and fraud management programs for broker-dealers. David specializes in the development of transaction monitoring and investigation of money laundering, market manipulation, penny stock fraud, cybercrime, suitability, elder abuse and other financial crime typologies. David has served as a member of senior management compliance and operational risk committees covering regulatory risks (e.g., employee conduct, foreign financial institutions and risk assessments).In addition to preparing SME reports, David has testified as an SME in federal court on behalf of the SEC involving SEC Rule 15a-6, day trading and KYC.  He is qualified as an SME in AML, fraud and cybersecurity and testifies at FINRA arbitrations. David actively serves as an arbitrator and chairperson at FINRA Arbitrations.David also participates as a panelist and moderator at industry conferences including the Congressional Taskforce on Terrorism and Unconventional Warfare.
David has held Series 3, 7, 9/10, 14, 24, 63, & SIE licenses. David also holds CAMS Certification.He holds the Certified Anti-Money Laundering Specialist (CAMS) designation.

Outside of work, David enjoys being with family and friends, playing with his dog, running and gardening.

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