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Special
Investigations
As former NASD examiners, we are experienced professionals who are
qualified to conduct special investigations on a variety of regulatory
issues.
Our goal is to identify, prevent, and/or provide guidance in respect
to the following:
Examination of rogue/statutorily disqualified registered representatives.
Resolve Net Capital violations and accounting reconciliation.
Investigate allegations of sales practice violations such as:
churning, suitability, misrepresentation, and unauthorized transactions.
Conduct internal audits and reviews of books & records.
InvestmentCare Consulting Group
can save you time and money, as well as reduce your risk exposure
through our special investigation program. For more information regarding
our special investigation program, please contact us at 818-386-6900. |
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