Dante P. Bartoletti
  David P. Semak
  Corey Johnson
  Pamela J. Watson
  Kelley D. Wright
  Jenyfer B. Tucker

  Who We Are
  What We Do
  Press Room
  List Your Services
  Employment
  Advertise
  Affiliate
  User Agreement
  Contact Us

Dante P. Bartoletti
Founder and Managing Director

 Dante P. Bartoletti, founder and Managing Director of InvestmentCare Consulting Group, Inc., manages overall corporate operations, client relations, consulting services and product development.  Mr. Bartoletti has more than eleven years of securities compliance, auditing and accounting experience specializing in compliance and regulatory areas including: supervision and oversight, books and records, anti-money laundering, internal inspections, certification of compliance/supervisory control systems and processes, business continuity, communication with the public, sales practice violations, customer complaints and the NASD Membership Application Process.  Mr. Bartoletti has extensive experience with the Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD) and Municipal Securities Rulemaking Board (MSRB) rules and regulations.  He also maintains a Series 27 Financial and Operations Principal license.

Mr. Bartoletti assists clients in developing supervisory systems, creating books and records maintenance and retention programs and establishing back office processes and operations.  He advises clients regarding internal operations, business processes and practices, risk management and investment product compliance.  Mr. Bartoletti also speaks at compliance seminars and hosts training programs for compliance professionals.

Prior to forming InvestmentCare, Mr. Bartoletti held a position as a securities examiner with the NASD where he conducted comprehensive examinations and investigations of its member firms and registered representatives for compliance with SEC, NASD, MSRB and state rules and regulations.  During his tenure with the NASD, Mr. Bartoletti was selected to lead and participate in several formal regulatory actions resulting in fines and sanctions, special investigations involving sales practice violations and chair on-the-record testimonials of registered investment professionals.

Mr. Bartoletti began his career with The Dial Corporation working in the finance and accounting departments.  He also worked in the customer service department for Murad, Inc. investigating credit fraud inquiries and internationally in Paris, France for the Baan/Aurum Business Unit of Bull Intergis.  

Mr. Bartoletti served in the United States Marine Corps and was honorably discharged after eight year of service. Mr. Bartoletti received his Bachelor of Arts degree in European Studies from Loyola Marymount University and his Master of International Business degree from Pepperdine University.

David P. Semak
Senior Compliance Consultant

David P. Semak is an independent consultant in the area of securities markets regulation. Mr. Semak has twenty-eight years of regulatory experience, which includes nearly twenty-one years in the areas of surveillance, examinations, enforcement, and listings at a national securities exchange and seven years as a securities consultant. Mr. Semak specializes in trading floor-related regulatory issues such as surveillance and disciplinary actions as well as analysis and expert testimony relating to insider trading, manipulation, marking-the-close, and other potential rule violations. Mr. Semak has extensive experience with the exchanges’ equity and options rules as well as the rules and regulations of the SEC. Additionally, Mr. Semak has considerable experience with the requirements of NASD rules 3010, 3011, 3012, and 3013, pre-audit preparation, and BD compliance program evaluation.

Prior to launching his consulting business in 1999, Mr. Semak spent nearly twenty-one years at the Pacific Exchange in a variety of analytical and managerial positions within the Exchange's regulatory division. From 1988 through September 1999, Mr. Semak served as Vice President of Regulation and was responsible for the Exchange's equity and options surveillance; enforcement; securities qualification (listings); member examinations (financial compliance); regulatory policy; and regulatory development and oversight departments. Mr. Semak represented the Pacific Exchange on a number of national and international groups and organizations including the Intermarket Surveillance Group (ISG), NASAA, IOSCO, and FIBV.

As a consultant, Mr. Semak has provided services to broker/dealers, domestic and foreign exchanges, and law firms in the areas of written supervisory procedures, surveillance systems, disciplinary actions, and trading analysis. Mr. Semak has also testified in federal court as an expert witness regarding an insider trading case.

Mr. Semak received his BA and MA degrees in history from California State University, Northridge, and he is a member of the Securities Industry Association's Compliance and Legal Division.


Corey Johnson
Consultant

Corey Johnson, Consultant, has over 10 years of compliance, auditing and registration experience. Corey has extensive compliance and registration experience with FINRA broker/dealers and investment advisory firms. He is responsible for conducting various registration and compliance projects to include broker/dealer and investment adviser registrations, compliance and research, branch office reviews, anti-money laundering (AML) inspections, and establishing general back-office operations. Corey previously served as an Associate Consultant and Managing Director for other Southern California based consulting firms. He also held the position of Compliance Examiner with FINRA where he conducted examinations of various member firms and assisted with FINRA formal actions. In addition, Corey has held compliance and operations positions with AIG SunAmerica and PriceWaterhouse Coopers.

Corey earned his B.A. degree in Political Science from Whittier College. He also completed the compliance training program from FINRA's Examiner University.

Pamela J. Watson
FINOP/FOCUS Specialist

Pamela J. Watson, FINOP/FOCUS Specialist, monitors the net capital positions and manages the bookkeeping, generation, review, approval and submission of InvestmentCare's clients' financial statements and FOCUS filings.  Ms. Watson brings to the firm over twenty-five years of accounting and finance experience.  She started her career in the oil industry, working as a cost accountant for Atlantic Richfield Company, where she was responsible for cost accounting for the Prudhoe Bay Facilities construction project. 

Ms. Watson moved into the securities industry, managing the fund accounting department for Capital Research and Management Company, the investment adviser for the giant American Funds mutual fund group.  Ms. Watson then moved on to CFO positions with Kleinwort Benson, a British merchant bank, and Anworth Mortgage Asset Corporation, a mortgage real estate investment trust.  She performed FinOp duties at Coast Asset Management, Syndicated Capital and Strome Securities.

Ms. Watson holds a BS in Accounting from Lehigh University in Bethlehem, PA and an MBA in Finance from Claremont Graduate University.  She holds Series 7, 24 and 27 securities registrations.

Kelley D. Wright
Associate Compliance Consultant

Kelley D. Wright, Associate Compliance Consultant, coordinates the administration and completion of client projects, research and special investigations for InvestmentCare. Mr. Wright also interacts with CRD/IARD, the Office of General Counsel and state regulators. He has more than 11 years of securities compliance, registration and regulatory experience specializing in registration matters, WebCRD/IARD, analysis of registration histories and investigations and resolution of form filing disputes.

Prior to joining InvestmentCare, Mr. Wright held numerous positions with the NASD for more than 10 years working with and for the Office of General Counsel and the Departments of Registration and Disclosure, Membership, Enforcement and Research. During his tenure, he also assisted the Securities and Exchange Commission and the Federal Bureau of Investigation with investigations of securities violations.
Jenyfer B. Tucker
Associate Compliance Consultant

Jenyfer B. Tucker, Associate Compliance Consultant, supports and coordinates the administration and completion of client engagements, research and special projects for InvestmentCare.  Ms. Tucker also assists with CRD/IARD filings, state registrations and client submissions to regulatory bodies. She has more than seven years of experience in the securities industry in various areas of compliance and operations.

Prior to joining InvestmentCare, Ms. Tucker held numerous positions with several broker/dealers working with high level producing registered representatives and branch managers handling office operations and compliance department issues. Ms. Tucker is currently in the process of obtaining her Bachelor of Arts in Business Administration.

|Back to Top|
 


Copyright © 2002 InvestmentCare Consulting Group, Inc. All rights reserved.
Use of this Web site constitutes acceptance of the InvestmentCare Consulting Group User Agreement.