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).
Ryan Smith’s areas of expertise include:
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.
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
National Society of Compliance Professionals
Operation Homefront Hampton Roads (former Board member)
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