Miriam Lefkowitz

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.