Broker Dealer Solutions
 
 

Prevent Regulatory Problems

... use our staff to investigate "reg flags" ...
B/D Solutions has a staff of experienced professionals who are highly qualified to conduct special investigations on an array of securities topics and problems.

Every brokerage firm has experienced the need to quickly uncover wrongdoing in order to manage damage control. Many firms use our staff to investigate "reg flags" in order to detect and prevent regulatory problems.

  • Examine rogue/statutorily disqualified registered representatives.

  • Resolve Net Capital violations and accounting reconciliations.

  • Investigate allegations of churning and unauthorized transactions.

  • Conduct internal audits and reviews of books and records.

 

B/D Solutions Consulting • 4060 Peachtree Road,
Suite D #322 • Atlanta, GA 30319 • 877-423-4636 • Copyright © 2004
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