I am the Managing Director of Luxor Financial Group, Inc. a NY based Broker Dealer Consulting Firm that specializes in setting up Independent Broker Dealers. We are experts in New Member Applications, Continuing Membership Applications, Expansion Filings, FINRA and SEC Audits, Anti Money Laundering Reviews, Business Development and general compliance and business development services. www.luxorbd.com Tel: 347-284-0110
I am also a former Member of the FINRA Board of Governors. FINRA oversees the regulatory activities and business practices of over 4,500 Broker Dealers, 163,000 Branch offices, 630,000 registered representatives and 3,500 employees and consultants with annualized revenues and a budget of approximately $800,000,000 (Eight hundred million dollars.)
The Board contends with many complex issues that affect large organizations from generating revenues, managing expenses, personnel, legal, regulatory, political and operational issues.
Additionally, I was a Member of the following committees and subcommittees:
Regulatory Policy Committee
Emerging Regulatory Issues (Subcommittee)
Financial, Operations & Technology Committee
Ex-Officio of the Small Firms Advisory Board (SFAB)