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.
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.
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.