Robert Moreiro

Robert Moreiro

Partner
Jacksonville, FL
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  • EXPERTISE
  • BLOG/PRESS/MEDIA

ABOUT

Robert has close to 20 years of considerable experience in financial services, advising registered investment advisers and broker-dealers regarding regulatory and compliance issues. With a deep understanding of the federal securities laws, Robert provides registered investment advisers, broker-dealers, and other financial institutions comprehensive and diverse services relating to all aspects of the federal securities laws, FINRA rules, and BSA/AML and OFAC regulations. He has represented registered investment advisers, broker-dealers, and individuals being examined, investigated, and prosecuted by the SEC, FINRA, other self-regulatory organizations and state regulators. He has assisted several clients in establishing SEC and state registered investment advisers including drafting and filing all of the required documentation including creating the compliance program plus all applicable policies and procedures.

With an undergraduate degree from the University of Florida, Robert loves spending time with his wife in the swamp (otherwise known as the Ben Hill Griffin Stadium) cheering on his beloved Florida Gators. He also enjoys cooking, he makes a mean Paella, and playing with his three small dogs – a Maltese, Shih Tzu, and Yorkie.

 

PRACTICE AREAS

ADMISSIONS

  • District of Columbia 2003
  • New York 2008

LANGUAGE

  • English
  • Spanish

EDUCATION

Georgetown University Law Center
LL.M., Securities & Financial Regulation
University of Miami
J.D.
University of Miami
M.B.A., Finance
University of Miami
M.P.Acc.
University of Florida
B.S.B.A., Finance

FUN FACTS

FAVORITE QUOTE

Favorite Quote

“Success is not final; failure is not fatal: It is the courage to continue that counts.” 

Winston Churchill
  • Favorite Book
    Favorite Book

    American Assassin by Vince Flynn

  • Favorite Song
    Favorite Song

    “One” by Harry Nilsson

  • Favorite Movie
    Favorite Movie

    Rocky

  • Favorite Vacation
    Favorite Vacation

    Hawaii

  • Favorite Meal
    Favorite Meal

    Churrasco

  • Favorite Artist
    Favorite Artist

    Picasso

ALTERNATE CAREER PATH

Alternate Carrer Path

If I weren’t a lawyer, realistically speaking, I would be in finance in some capacity; however, reality aside, I would love to have been a guitarist.

PRACTICE AREAS

ADMISSIONS

  • District of Columbia 2003
  • New York 2008

LANGUAGE

  • English
  • Spanish

EDUCATION

Georgetown University Law Center
LL.M., Securities & Financial Regulation
University of Miami
J.D.
University of Miami
M.B.A., Finance
University of Miami
M.P.Acc.
University of Florida
B.S.B.A., Finance

RELEVANT EXPERIENCE

Prior to joining Practus, Robert was an Advisory Manager for Deloitte where he advised clients regarding BSA/AML and OFAC compliance issues. Robert also spent over ten years at FINRA where he served as Senior Counsel in the Department of Enforcement. While at FINRA, Robert lead many complex investigations and prosecutions involving, among other things, securities fraud, market manipulation, AML and supervision failures, and sales practice violations. He also serves as an outsourced Chief Compliance Officer/AML Compliance Officer for a FinTech broker-dealer.

Robert’s areas of expertise include:

Anti-Money Laundering, Broker-Dealer Formation, Regulation and Compliance, Investment Adviser Formation, Regulation and Compliance , Outsourced Chief Compliance Officer and Anti-Money Laundering Officer Services, Ongoing Compliance Services for Investment Advisers and Broker-Dealers, Securities Enforcement and Regulation, and FINRA


REPRESENTATIVE MATTERS

  • Convinced a state securities regulator to drop charges against the President/CCO of an investment advisory firm.
  • Represented and advised multiple investment advisory firms in regulatory examinations conducted by the SEC or state securities regulators.
  • Convinced the CFP Board not to open an investigation against an investment adviser.
  • Negotiated the successful resolution of a state regulators charges against an investment advisory firm.
  • Assist multiple investment advisory firms in registering with the SEC and/or state securities authorities and coordinating with regulatory authorities during the application process; plus provide advice and assistance in the drafting disclosure documents and development of compliance programs.
  • Performed for multiple investment advisory firms their required annual review of their Compliance Program as required by Rule 206(4)-7 of the Investment Advisers Act of 1940.
  • Led several teams which investigated and prosecuted members firms regarding the sales of Leveraged & Inversed ETFs, non-traded REITs, and Variable Annuities.
  • Led several teams which investigated and prosecuted member firms regarding the sales of unregistered securities.
  • Led several investigations and prosecutions of member firms regarding their AML Compliance Programs.
  • Litigated a disciplinary action against a registered principal and registered representative regarding the sales of unregistered securities.
  • Managed multiple independent BSA/AML testing engagements. Led engagement staff in conducting the independent testing of financial institutions’ BSA/AML Compliance Program to ensure compliance with applicable BSA/AML regulatory requirements, regulatory expectations and prevalent industry practices.
  • Conducted several AML validations for projects designed as response to regulatory consent orders.Liaised and communicated with Business teams that completed the AML projects to understand actions taken. Ensured projects were within the requirements of the consent orders.

PROFESSIONAL ASSOCIATIONS & BOARD MEMBERSHIPS

Certified Securities Compliance Professional (CSCP), Certified Anti-Money Laundering Specialist (CAMS), Anti-Money Laundering Certified Associate (AMLCA), Certified Fraud Examiner (CFE)

BLOG

SEC Division of Examination Issues Risk Alert on Robo-Advisers
SEC Division of Examination Issues Risk Alert on Robo-Advisers
Read More
FINRA Issues Regulatory Notice to Inform Firms of FinCEN’s AML/CFT Priorities
FINRA Issues Regulatory Notice to Inform Firms of FinCEN’s AML/CFT Priorities
Read More
FinCEN Issues AML/CFT Priorities
FinCEN Issues AML/CFT Priorities
Read More

CONNECT WITH ME

At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.

CONTACT ME
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