Ryan P. Smith

Ryan P. Smith

Partner
Washington, D.C.
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RELEVANT EXPERIENCE

Prior to joining Practus, Ryan was the Chief Compliance Officer and Vice President at Folio Investments, Inc., a Goldman Sachs Company. He also held various positions at the Financial Industry Regulatory Authority (FINRA), including Associate General Counsel and Senior Principal Counsel, and was Vice President and Attorney for Wachovia Securities (now known as Wells Fargo Advisors). 

AREAS OF EXPERTISE

Ryan Smith’s areas of expertise include:

  • Ongoing compliance services for investment advisers and broker-dealers
  • Design and testing of written supervisory procedures
  • Regulatory exam defense
  • Mock exams
  • Internal investigations
  • Regulatory reporting – including to the Consolidated Audit Trail (CAT)
  • Matters concerning to FINRA’s Member Regulation, Corporate Finance and Advertising Regulation Departments
  • Arbitration before FINRA Dispute Resolution

REPRESENTATIVE MATTERS

Successfully defended a firm in a FINRA exam, which led the regulator to rescind all findings it issued concerning FINRA Rule 2210.

Successfully defended an arbitration claim in which the claimant sought hundreds of thousands of dollars in damages arising out of his purchase of Class B mutual funds, resulting in an award that was a small fraction of the amount claimed.

Rewrote a full suite of written supervisory procedures for two broker-dealers.

TALKS/SEMINARS

NOVEMBER 2018 –  Presentation to University of Maryland’s MLAW students

NOVEMBER 2016 – Presented at the “FINRA Update” and “Advertising for Financial Products” panels at the North American Securities Administrators Association’s Corporation Finance Training in Houston, Texas

OCTOBER 2015 – Spoke at the “Legislative and Regulatory Update” Panel at the Alternative & Direct Investment Securities Association’s 2015 Annual Conference in Las Vegas, Nevada

OCTOBER 2014 – Spoke on the “Alternative Investments: A Changing Landscape” panel at FINRA’s 2014 Advertising Regulation Conference Association

PROFESSIONAL ASSOCIATIONS & BOARD MEMBERSHIPS

National Society of Compliance Professionals

Operation Homefront Hampton Roads (former Board member)

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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