Robert has over 20 years of considerable experience in financial services, advising Financial Institutions including 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 and Broker-Dealers comprehensive and diverse services relating to all aspects of the federal securities laws, FINRA rules, and BSA/AML regulations. He has represented Registered Investment Advisers, Broker-Dealers, and associated persons being examined, investigated, and prosecuted by the SEC, FINRA, other self-regulatory organizations and state regulators. He has assisted several Registered Investment Advisers in establishing SEC and/or state registration including drafting and filing all of the required documentation plus creating required compliance policies and procedures. Serve as Chief Compliance Officer/AML Compliance Officer for Broker-Dealers. Served as Chief Compliance Officer for Registered Investment Adviser. Served as Expert Witness in a FINRA arbitration regarding rules and regulations applicable to Broker-Dealers and Registered Investment Advisers.
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.
“Success is not final; failure is not fatal: It is the courage to continue that counts.”
American Assassin by Vince Flynn
“I Won’t Back Down” by Tom Petty
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 restaurateur.
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