Financial Services and Accounting Expert Witness | California
Financial Services and Accounting | E-007846
Expert Qualifications
This expert has over 25 years of experience in the securities industry as an accounting and compliance specialist. Industry experience with broker-dealers, registered investment advisers, hedge funds,regulation, compliance, accounting, and information technology. He has been FINRA registered since 1984 and is also a licensed Financial and Operations Principal. He currently serves as Principal for a financial compliance services firm.
Bio Snapshot
Location: California
B.S., Engineering and Technology, Indian Institute of Technology
M.B.A., Calcutta University
M.B.A., Garvin School of International Management
Certified: CPA, California Insurance, FINRA
Member, American Institute of CPAs
Member, Public Company Accounting Oversight Board
Member, California Society of CPAs
Member NSCP, National Society of Compliance Professionals
Member ISACA, Information Systems Audit and Control Association
Securities Licensed: SEC, FINRA, Series: 24, 7, 63, 55, 4, 27, 3, and 53
Present, Principal, financial compliance services firm
